Gary Austin O'Neill

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.

  • Austin-Chapel Independent Financial Advisers LLP

    FRN 516196

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • [FCA CF] Manager of certification employee (since 6 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)
    • [FCA CF] Benchmark submission and administration (since 6 Nov 2020)
    • [FCA CF] CASS oversight function (since 6 Nov 2020)
    • [FCA CF] Client dealing (since 6 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (18 Jun 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Jun 2010 to 8 Dec 2019)
    • CF30 Customer (18 Jun 2010 to 8 Dec 2019)
  • Austin Chapel IFA's (no longer approved here)

    FRN 194914

    • (8)Employed By (1 Dec 2001 to 23 Sep 2010)
  • DGS Independent Financial Advisers Ltd (no longer approved here)

    FRN 200277

    • Employed By (1 Dec 2001 to 6 Oct 2003)

Recent activity

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

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