Gavin Dalziel Downs

Last updated
2 weeks ago
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Where they hold approval

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

  • Equiniti Financial Services Limited (no longer approved here)

    FRN 468631

    • Responsible for Insurance Mediation (22 Jul 2008 to 5 Mar 2014)
    • CF28 Systems and controls (1 Nov 2007 to 6 Sep 2010)
    • CF8 Apportionment and Oversight (9 Oct 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (3 Sep 2007 to 30 Sep 2015)
    • CF1 Director (3 Sep 2007 to 2 Jul 2015)
    • CF11 Money Laundering Reporting (3 Sep 2007 to 30 Jun 2013)
    • CF14 Risk Assessment (3 Sep 2007 to 31 Oct 2007)
    • CF15 Internal Audit (3 Sep 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 1 Jun 2003)
    • CF14 Risk Assessment (1 Dec 2001 to 1 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 1 Jun 2003)
    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 1 Jun 2003)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Oct 2007)

Recent activity

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

No changes recorded yet.