Francis Dean Burns

Last updated
3 weeks ago
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Where they hold approval

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

  • Asset and Investment Management Limited (no longer approved here)

    FRN 196680

    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Nov 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Mar 2024)
    • SMF3 Executive Director (9 Dec 2019 to 27 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Nov 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 27 Nov 2023)
    • CF11 Money Laundering Reporting (19 Jan 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Jan 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (27 Jan 2005 to 30 Sep 2018)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.