Diana Jones

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.

  • HORIZON INDEPENDENT FINANCIAL ADVISERS LIMITED

    FRN 210464

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] CASS oversight function (since 10 Dec 2020)
    • [PRA CF] Key function holder (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [FCA CF] Significant management (since 10 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (12 Oct 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Oct 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Mar 2003 to 31 Oct 2007)
    • CF1 Director (10 Mar 2003 to 8 Dec 2019)

Recent activity

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

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