Graham Thomson

• Thomson Ferrie LLP

  FRN 504710

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 22 Sep 2016)
  • CF10 Compliance Oversight (16 Dec 2009 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Dec 2009 to 8 Dec 2019)
  • CF30 Customer (16 Dec 2009 to 8 Dec 2019)
  • CF4 Partner (16 Dec 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (16 Dec 2009 to 30 Sep 2018)
• RIVERPARK INVESTMENT & FINANCIAL CONSULTANTS LTD. (no longer approved here)

  FRN 455480

  • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
  • CF8 Apportionment and Oversight (9 Oct 2006 to 31 Mar 2009)
  • CF1 Director (9 Oct 2006 to 31 Oct 2009)
  • CF10 Compliance Oversight (9 Oct 2006 to 31 Oct 2009)
  • Responsible for Insurance Mediation (9 Oct 2006 to 31 Oct 2009)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (9 Oct 2006 to 31 Oct 2009)
• Riverpark Investment & Financial Consultants (no longer approved here)

  FRN 214519

  • (14)Employed By (12 Dec 2002 to 8 Oct 2006)
• Cameron Alexander Ltd (no longer approved here)

  FRN 200076

  • Employed By (22 Dec 1999 to 20 Dec 2002)

No changes recorded yet.