Elizabeth Jane Newman

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.

  • JANE NEWMAN FINANCIAL PLANNING LIMITED

    FRN 832988

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • [FCA CF] Client dealing (since 19 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 7 May 2019)
    • Responsible for Insurance Distribution (since 7 May 2019)
    • CF10 Compliance Oversight (7 May 2019 to 8 Dec 2019)
    • CF1 Director (7 May 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 May 2019 to 8 Dec 2019)
    • CF30 Customer (7 May 2019 to 8 Dec 2019)
  • SN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 231014

    • CF30 Customer (19 Jan 2011 to 9 May 2019)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF1 Director (AR) (11 Nov 2009 to 26 Nov 2010)
    • CF30 Customer (11 Nov 2009 to 9 Dec 2009)
  • Venus Financial Planning Ltd (no longer approved here)

    FRN 511243

    • Employed By (11 Nov 2009 to 26 Nov 2010)
  • Geoffrey A Potter & Co (no longer approved here)

    FRN 429517

    • CF30 Customer (1 Nov 2007 to 14 Dec 2009)
    • CF22 Investment Adviser (Trainee) (8 Feb 2007 to 31 Oct 2007)

Recent activity

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

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