Frederick Thomas Walters

Last updated
1 week ago
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Where they hold approval

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

  • Frederick Walters

    FRN 714664

    • 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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 9A. Advising on P2P agreements
    • [FCA CF] Significant management (since 1 Jan 2020)
    • [FCA CF] Benchmark submission and administration (since 1 Jan 2020)
    • [FCA CF] CASS oversight function (since 1 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
    • [FCA CF] Manager of certification employee (since 1 Jan 2020)
    • [FCA CF] Proprietary trader (since 1 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (19 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (19 Jan 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Jan 2016 to 8 Dec 2019)

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