Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Lloyd Vine Limited
FRN 832055
- 11. Pension transfer specialist
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- Responsibility for MCD Intermediation (since 21 Feb 2023)
- Responsible for Insurance Distribution (since 21 Feb 2023)
- SMF16 Compliance Oversight (since 21 Feb 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Feb 2023)
- SMF3 Executive Director (since 21 Feb 2023)
- [FCA CF] Benchmark submission and administration (since 14 Jan 2022)
- [FCA CF] CASS oversight function (since 14 Jan 2022)
- [FCA CF] Client dealing (since 1 Sep 2021)
- [FCA CF] Functions requiring qualifications (since 1 Sep 2021)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.