David Sydney Lowe

Last updated
2 days ago
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Where they hold approval

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

  • David S Lowe Financial Management

    FRN 458258

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (2 Jan 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (2 Jan 2007 to 30 Sep 2018)
  • David S Lowe Financial Management (no longer approved here)

    FRN 200118

    • Employed By (9 Dec 1999 to 29 Dec 2006)

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

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