Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Cox Financial Limited
FRN 714717
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF3 Executive Director (since 15 Nov 2025)
- [FCA CF] Functions requiring qualifications (since 8 Jul 2025)
- [FCA CF] Client dealing (since 8 Jul 2025)
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- [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Nov 2025)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Nov 2025)
- [FCA CF] Client dealing (9 Dec 2019 to 4 Nov 2025)
- SMF16 Compliance Oversight (9 Dec 2019 to 8 Jul 2025)
- SMF3 Executive Director (9 Dec 2019 to 29 Oct 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jul 2025)
- Responsibility for MCD Intermediation (6 Jul 2016 to 8 Jul 2025)
- CF11 Money Laundering Reporting (1 Mar 2016 to 8 Dec 2019)
- CF1 Director (1 Mar 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Mar 2016 to 8 Dec 2019)
- CF30 Customer (1 Mar 2016 to 8 Dec 2019)
- Responsible for Insurance Mediation (1 Mar 2016 to 22 Apr 2016)
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- CF30 Customer (10 Jul 2012 to 9 Jul 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.