Derek Edward Gawne

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.

  • CAM Wealth Group Limited

    FRN 823705

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Oct 2024)
    • Responsible for Insurance Distribution (since 17 Oct 2024)
    • SMF3 Executive Director (since 30 Sep 2021)
    • [FCA CF] Client dealing (since 14 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF16 Compliance Oversight (30 Sep 2021 to 17 Oct 2024)
  • Charteris Treasury Portfolio Managers Limited

    FRN 114952

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 5 Oct 2021)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Functions requiring qualifications (16 Sep 2020 to 31 Mar 2021)
  • Redmayne-Bentley LLP (no longer approved here)

    FRN 499510

    • CF30 Customer (4 Mar 2016 to 8 Dec 2019)
  • W H Ireland Limited (no longer approved here)

    FRN 140773

    • CF30 Customer (1 Nov 2007 to 5 Sep 2008)
    • CF24 Pension Transfer Specialist (18 Nov 2003 to 31 Oct 2007)
    • CF27 Investment Management (15 Oct 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (15 Oct 2003 to 31 Oct 2007)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF22 Investment Adviser (Trainee) (25 Sep 2002 to 12 Sep 2003)
  • Grosvenor Independent Financial Limited (no longer approved here)

    FRN 216820

    • (3)Employed By (25 Sep 2002 to 12 Sep 2003)

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

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