Edward George Holden

Last updated
3 weeks ago
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Where they hold approval

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

  • Holden & Co

    FRN 103287

    • 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
    • 16. Safeguarding and administering investments or holding client money
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 28 Apr 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF25 Adviser on Syndicate Participation at Lloyd's (1 Dec 2001 to 31 Oct 2007)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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