Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Expert Financial Solutions Ltd
FRN 401295
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- 9A. Advising on P2P agreements
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- CF11 Money Laundering Reporting (3 Mar 2009 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (10 May 2005 to 8 Dec 2019)
- CF1 Director (10 May 2005 to 8 Dec 2019)
- CF21 Investment Adviser (16 Oct 2004 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (16 Oct 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.