Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Howard Wright Ltd
FRN 114610
- 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
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 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
- [FCA CF] Manager of certification employee (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)
- [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)
- Responsibility for MCD Intermediation (since 27 Sep 2016)
- CF11 Money Laundering Reporting (16 Aug 2019 to 8 Dec 2019)
- Responsible for Insurance Mediation (27 Sep 2016 to 30 Sep 2018)
- CF1 Director (27 Sep 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (27 Feb 2012 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 7 Sep 2020)
- CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (4 Jan 2006 to 28 Jul 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.