Denis Andrew McNaughton

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.

  • D&M Financial Ltd

    FRN 800837

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (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 3 Apr 2018)
    • CF11 Money Laundering Reporting (3 Apr 2018 to 8 Dec 2019)
    • CF1 Director (3 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Apr 2018 to 8 Dec 2019)
    • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Apr 2018 to 30 Sep 2018)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF1 Director (AR) (27 Aug 2010 to 3 Aug 2017)
    • CF30 Customer (10 Feb 2009 to 30 Dec 2010)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (13 Oct 2004 to 31 Dec 2004)
    • CF22 Investment Adviser (Trainee) (5 Feb 2004 to 13 Oct 2004)

Recent activity

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

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