Duncan Williams

Last updated
2 weeks ago
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Where they hold approval

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

  • Williams Investment Management LLP

    FRN 403210

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
    • CF10 Compliance Oversight (3 May 2005 to 31 May 2005)
    • CF11 Money Laundering Reporting (3 May 2005 to 31 May 2005)
    • CF27 Investment Management (3 May 2005 to 31 Oct 2007)
    • CF4 Partner (3 May 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 May 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (3 May 2005 to 11 Mar 2015)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF21 Investment Adviser (29 May 2002 to 30 Jun 2003)
    • CF27 Investment Management (29 May 2002 to 30 Jun 2003)

Recent activity

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

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