Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Fabian J.A. Finlay M.C.S.I.
FRN 122528
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- 14. Managing investments
- 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
- 3. Giving personal recommendations on derivatives
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.