David William Lawson

Last updated
1 week ago
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Where they hold approval

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

  • Onelife Planning LLP

    FRN 717860

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (11 Apr 2016 to 8 Dec 2019)
    • CF30 Customer (11 Apr 2016 to 8 Dec 2019)
    • CF4 Partner (11 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Apr 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Apr 2016 to 30 Sep 2018)
  • XL Independent Financial Advisers Ltd (no longer approved here)

    FRN 415232

    • CF30 Customer (1 Nov 2007 to 22 Dec 2010)
    • CF8 Apportionment and Oversight (17 Jan 2005 to 31 Mar 2009)
    • CF10 Compliance Oversight (17 Jan 2005 to 1 Aug 2011)
    • CF1 Director (17 Jan 2005 to 5 Apr 2013)
    • CF11 Money Laundering Reporting (17 Jan 2005 to 1 Aug 2011)
    • CF21 Investment Adviser (17 Jan 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (3 Dec 2004 to 1 Aug 2011)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (4 Jan 2005 to 23 Dec 2009)
  • XL2 Ltd (no longer approved here)

    FRN 224373

    • Employed By (4 Jan 2005 to 23 Dec 2009)
  • GENCIA FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 402695

    • CF21 Investment Adviser (24 Nov 2004 to 18 Dec 2004)
  • Exel Independent Financial Advisers (no longer approved here)

    FRN 194650

    • (4)Employed By (1 Mar 2000 to 8 Jul 2004)

Recent activity

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

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