Euan Robert Galbraith

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • ERG FINANCIAL PLANNING LTD

    FRN 533548

    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Nov 2021)
    • SMF3 Executive Director (since 23 Nov 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Significant management (9 Dec 2019 to 16 Dec 2019)
    • [PRA CF] Key function holder (9 Dec 2019 to 16 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Jul 2025)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 16 Dec 2019)
    • Responsible for Insurance Mediation (25 Mar 2011 to 30 Sep 2018)
    • CF1 Director (25 Mar 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Mar 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Mar 2011 to 8 Dec 2019)
    • CF30 Customer (25 Mar 2011 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 19 Feb 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2002)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Jan 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.