Dean Moore

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.

  • RBC Europe Limited

    FRN 124543

    • 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 1 Nov 2019)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2019)
    • [FCA CF] Manager of certification employee (since 1 Nov 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2002)

Recent activity

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

No changes recorded yet.