Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Gribben & Watt Financial Planning Limited
FRN 479550
- 21. Advising or arranging (bringing about) equity release transactions
- 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)
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- SMF16 Compliance Oversight (since 8 Nov 2024)
- [FCA CF] Functions requiring qualifications (since 19 Dec 2020)
- [FCA CF] Client dealing (since 19 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF11 Money Laundering Reporting (14 Apr 2008 to 8 Dec 2019)
- CF8 Apportionment and Oversight (14 Apr 2008 to 31 Mar 2009)
- CF30 Customer (14 Apr 2008 to 8 Dec 2019)
- CF1 Director (14 Apr 2008 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.