Where they hold approval

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

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF3 Chief Executive (1 Oct 2013 to 8 Dec 2019)
    • CF1 Director (1 Oct 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Oct 2013 to 30 Sep 2018)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 27 Sep 2013)
    • CF1 Director (AR) (9 Mar 2005 to 27 Sep 2013)
    • CF4 Partner (AR) (5 May 2004 to 9 Mar 2005)
    • CF21 Investment Adviser (5 May 2004 to 31 Oct 2007)
  • Maidenhead Independent Limited (no longer approved here)

    FRN 400344

    • (1)Employed By (5 May 2004 to 27 Sep 2013)

Recent activity

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

No changes recorded yet.