Derek James Fish

Last updated
2 weeks ago
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Where they hold approval

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

  • Lomond Financial Management Group Ltd

    FRN 488153

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 30 Jul 2018)
    • CF1 Director (AR) (since 7 Mar 2016)
    • CF30 Customer (since 7 Mar 2016)
    • CF1 Director (30 Jul 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jul 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jul 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Jul 2018 to 30 Sep 2018)
  • Lomond Wealth Management LTD

    FRN 738180

    • (6)Employed By (since 7 Mar 2016)

Recent activity

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

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