Gary Robert Newton

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.

  • CHARTWELL FINANCIAL SERVICES LIMITED

    FRN 189602

    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (17 May 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (AR) (15 Nov 2006 to 30 Nov 2018)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (13 Feb 2002 to 31 Mar 2009)
    • CF3 Chief Executive (13 Feb 2002 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (13 Feb 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (13 Feb 2002 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (13 Feb 2002 to 8 Dec 2019)
    • CF1 Director (13 Feb 2002 to 8 Dec 2019)
  • Bollington Financial Planning Ltd (no longer approved here)

    FRN 424482

    • Employed By (15 Nov 2006 to 10 Dec 2018)

Recent activity

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

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