Giles Stuart Sanger

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.

  • Giles Sanger

    FRN 797828

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2020 to 26 Nov 2021)
    • [FCA CF] Benchmark submission and administration (9 Dec 2020 to 26 Nov 2021)
    • [FCA CF] CASS oversight function (9 Dec 2020 to 26 Nov 2021)
    • [FCA CF] Client dealing (9 Dec 2020 to 26 Nov 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2020 to 26 Nov 2021)
    • [FCA CF] Material risk taker (9 Dec 2020 to 26 Nov 2021)
    • [FCA CF] Proprietary trader (9 Dec 2020 to 26 Nov 2021)
    • CF10 Compliance Oversight (3 Apr 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Apr 2018 to 8 Dec 2019)
    • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
  • GSS Financial Planning Limited (no longer approved here)

    FRN 579330

    • CF1 Director (3 Dec 2012 to 31 May 2014)
    • CF30 Customer (3 Dec 2012 to 31 May 2014)
    • CF11 Money Laundering Reporting (3 Dec 2012 to 31 May 2014)
  • G S S Financial Planning (1643) (no longer approved here)

    FRN 171629

    • (1)Employed By (1 Oct 1998 to 21 Dec 2012)

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