Diana Atkinson

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.

  • Diana Atkinson Limited

    FRN 300815

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 13 Nov 2020)
    • [FCA CF] Client dealing (since 13 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Jun 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Apr 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Apr 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (11 Apr 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
  • Active Financial Planners Limited (no longer approved here)

    FRN 193065

    • CF21 Investment Adviser (16 May 2002 to 16 Mar 2005)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 16 May 2002)
  • John Watson Financial Services (1081) (no longer approved here)

    FRN 154990

    • (2)Employed By (27 Jun 2000 to 31 Dec 2001)

Recent activity

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

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