Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FINLI (SCOTLAND) LIMITED
FRN 402458
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (AR) (since 20 Aug 2013)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Oct 2025)
- Responsible for Insurance Distribution (1 Oct 2018 to 1 Oct 2025)
- Responsibility for MCD Intermediation (21 Mar 2016 to 1 Oct 2025)
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (1 Nov 2004 to 31 Mar 2009)
- CF10 Compliance Oversight (1 Nov 2004 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Nov 2004 to 8 Dec 2019)
- CF21 Investment Adviser (1 Nov 2004 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Nov 2004 to 31 Oct 2007)
- CF1 Director (1 Nov 2004 to 8 Dec 2019)
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FINLI (ORKNEY) LIMITED
FRN 605316
- (3)Employed By (since 20 Aug 2013)
Recent activity
Updates to this individual's record on the FCA register.
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