Donna Monique Annette Malone

Last updated
1 week ago
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Where they hold approval

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

  • Donna Malone Financial Advice Limited

    FRN 914115

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 28 Sep 2020)
    • [FCA CF] Client dealing (since 28 Sep 2020)
    • Responsibility for MCD Intermediation (since 1 Jul 2020)
    • SMF3 Executive Director (since 1 Jul 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jul 2020)
    • SMF16 Compliance Oversight (since 1 Jul 2020)
    • Responsible for Insurance Distribution (since 1 Jul 2020)
  • Midland Financial Advisers Limited (no longer approved here)

    FRN 441299

    • SMF3 Executive Director (9 Dec 2019 to 4 Dec 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 5 Dec 2019)
    • Responsible for Insurance Mediation (30 Oct 2008 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (16 May 2006 to 31 Oct 2007)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
  • Midland Financial Associates Ltd (no longer approved here)

    FRN 214514

    • (9)Employed By (1 Dec 2001 to 19 Mar 2007)

Recent activity

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

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