Derek Lawrence Dodds

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.

  • Professional Financial LLP

    FRN 615204

    • 21. Advising or arranging (bringing about) equity release transactions
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
    • CF4 Partner (1 Apr 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (1 Nov 2007 to 4 Apr 2009)
    • CF1 Director (AR) (30 Jul 2007 to 4 Apr 2009)
    • CF22 Investment Adviser (Trainee) (8 Aug 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.