David James Warboys

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Welcome Mortgage Solutions Ltd

    FRN 479326

    • 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose
    • 22. Designing scripted questions for execution-only sales of equity release transactions
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (18 May 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (15 Oct 2009 to 30 Sep 2018)
    • CF1 Director (27 Nov 2008 to 8 Dec 2019)
  • Lifelink Services Ltd (no longer approved here)

    FRN 300474

    • CF4 Partner (AR) (2 Nov 2004 to 16 Sep 2005)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.