Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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BLACK DOG FINANCIAL SERVICES LTD.
FRN 512436
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsible for Insurance Distribution (since 31 Oct 2022)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF10 Compliance Oversight (1 Apr 2010 to 8 Dec 2019)
- CF30 Customer (1 Apr 2010 to 8 Dec 2019)
- CF1 Director (1 Apr 2010 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.