Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Warren & Warren
FRN 153446
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 24 Dec 2012)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF7 Sole Trader (16 Mar 2004 to 31 Jan 2007)
- CF11 Money Laundering Reporting (16 Mar 2004 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.