Douglas George Walker

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.

  • HCR Independent Financial Advisers Limited (no longer approved here)

    FRN 216219

    • Responsibility for MCD Intermediation (26 Feb 2024 to 2 Feb 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Feb 2026)
    • SMF3 Executive Director (9 Dec 2019 to 2 Feb 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Feb 2026)
    • Responsible for Insurance Mediation (19 Apr 2018 to 30 Sep 2018)
    • CF10 Compliance Oversight (19 Apr 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Apr 2018 to 8 Dec 2019)
    • CF1 Director (19 Apr 2018 to 8 Dec 2019)
  • D G S Independent Financial Advisers Limited (no longer approved here)

    FRN 225814

    • SMF3 Executive Director (9 Dec 2019 to 2 Feb 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Feb 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Feb 2026)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 2 Feb 2026)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (30 Sep 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Sep 2003 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Sep 2003 to 8 Dec 2019)
  • DGS Independent Financial Advisers Ltd (no longer approved here)

    FRN 200277

    • Employed By (19 Aug 1999 to 30 Sep 2003)

Recent activity

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

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