Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MONMOUTH CAPITAL LTD
FRN 713975
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF10 Compliance Oversight (18 Nov 2015 to 8 Dec 2019)
- CF1 Director (18 Nov 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (18 Nov 2015 to 8 Dec 2019)
- CF3 Chief Executive (18 Nov 2015 to 8 Dec 2019)
- CF30 Customer (18 Nov 2015 to 8 Dec 2019)
- Responsible for Insurance Mediation (18 Nov 2015 to 30 Sep 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.