Elliott Charles Swatton

Last updated
5 days ago
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Where they hold approval

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

  • Gem & Co Financial Services Limited

    FRN 949148

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2021)
    • Responsibility for MCD Intermediation (since 1 Nov 2021)
    • SMF3 Executive Director (since 1 Nov 2021)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Capita Life & Pensions Regulated Services Limited (no longer approved here)

    FRN 145540

    • CF27 Investment Management (1 Dec 2001 to 11 Mar 2002)

Recent activity

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

No changes recorded yet.