Graham Michael Shaw

Last updated
2 weeks ago
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Where they hold approval

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

  • Graham Shaw

    FRN 530811

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (8 Dec 2010 to 30 Dec 2012)
    • CF10 Compliance Oversight (8 Dec 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Dec 2010 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (1 Nov 2007 to 9 Jul 2010)
    • CF21 Investment Adviser (9 Oct 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.