Edwin Alexander Spencer

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.

  • Bourne Independent Financial Advisers Ltd

    FRN 502077

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 30 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (30 Nov 2021 to 8 Dec 2019)
    • CF30 Customer (14 Oct 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Oct 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Oct 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Oct 2009 to 30 Sep 2018)
  • PROTECTION & INVESTMENT LIMITED (no longer approved here)

    FRN 222993

    • CF30 Customer (1 Nov 2007 to 16 Dec 2009)
    • CF21 Investment Adviser (2 Jul 2003 to 31 Oct 2007)
  • Abacus Associates (0172) (no longer approved here)

    FRN 153404

    • Employed By (19 Jul 2002 to 19 Jul 2002)
  • Protection & Investment (2882) (no longer approved here)

    FRN 193401

    • (20)Employed By (19 Jul 2002 to 11 Sep 2003)

Recent activity

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

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