Edward Alexander De Burgh Galwey

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.

  • Smythe House Limited

    FRN 583142

    • 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)
    • [FCA CF] Functions requiring qualifications (since 12 Dec 2022)
    • [FCA CF] Client dealing (since 12 Dec 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (12 Dec 2022 to 12 Dec 2022)
    • Responsibility for MCD Intermediation (12 Dec 2022 to 12 Dec 2022)
    • CF11 Money Laundering Reporting (30 Aug 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Aug 2017 to 8 Dec 2019)
    • CF30 Customer (31 Aug 2012 to 8 Dec 2019)
    • CF1 Director (31 Aug 2012 to 8 Dec 2019)
  • Oberon Investments Limited (no longer approved here)

    FRN 124885

    • [FCA CF] Functions requiring qualifications (9 Dec 2022 to 1 Jul 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2024)
    • CF30 Customer (26 Nov 2019 to 8 Dec 2019)
  • Atomos Financial Planning Limited (no longer approved here)

    FRN 193503

    • CF30 Customer (17 Aug 2012 to 27 May 2013)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF21 Investment Adviser (1 Mar 2005 to 7 Feb 2006)

Recent activity

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

No changes recorded yet.