George Christopher Vaughan Case

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.

  • Case Financial Consulting Limited

    FRN 828424

    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (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)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF10 Compliance Oversight (15 Nov 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Nov 2019 to 8 Dec 2019)
    • CF3 Chief Executive (12 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (12 Nov 2019 to 8 Dec 2019)
    • CF1 Director (12 Nov 2019 to 8 Dec 2019)

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

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