Dawn Michelle Wood

Last updated
3 weeks ago
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Where they hold approval

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

  • ORCHARD FINANCIAL MANAGEMENT LIMITED

    FRN 229317

    • 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
    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Sep 2022)
    • Responsible for Insurance Distribution (since 23 Sep 2022)
    • SMF16 Compliance Oversight (since 23 Sep 2022)
    • [FCA CF] Client dealing (since 27 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 27 Nov 2020)
    • SMF3 Executive Director (since 4 Sep 2020)
    • Responsibility for MCD Intermediation (since 4 Sep 2020)
    • [FCA CF] Significant management (27 Nov 2020 to 23 Aug 2021)
    • [FCA CF] Benchmark submission and administration (27 Nov 2020 to 23 Aug 2021)
    • [FCA CF] Manager of certification employee (27 Nov 2020 to 23 Aug 2021)
    • [FCA CF] Proprietary trader (27 Nov 2020 to 23 Aug 2021)
    • [PRA CF] Key function holder (27 Nov 2020 to 23 Aug 2021)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (31 Mar 2020 to 31 Jan 2022)
  • MABWM Ltd (no longer approved here)

    FRN 806378

    • Employed By (31 Mar 2020 to 31 Jan 2022)

Recent activity

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

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