Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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David Spence Financial Options
FRN 222303
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 11 Jan 2021)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (11 Apr 2007 to 30 Sep 2018)
- CF10 Compliance Oversight (21 May 2003 to 8 Dec 2019)
- CF21 Investment Adviser (21 May 2003 to 31 Oct 2007)
- CF8 Apportionment and Oversight (21 May 2003 to 31 Mar 2009)
- CF11 Money Laundering Reporting (21 May 2003 to 8 Dec 2019)
- CF4 Partner (11 Feb 2003 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.