Gregory Vesey Spiller

• Acumen Associate Financial Services Ltd

  FRN 774649

  • 21. Advising or arranging (bringing about) equity release transactions
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 8 Jun 2017)
  • CF10 Compliance Oversight (8 Jun 2017 to 8 Dec 2019)
  • CF1 Director (8 Jun 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Jun 2017 to 8 Dec 2019)
  • CF30 Customer (8 Jun 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (8 Jun 2017 to 30 Sep 2018)
• TenetConnect Limited (no longer approved here)

  FRN 149826

  • CF30 Customer (26 Aug 2016 to 22 Feb 2017)
• Aspire Financial Management Ltd (no longer approved here)

  FRN 568595

  • Employed By (26 Aug 2016 to 22 Feb 2017)
• Uniec Prestige Ltd (no longer approved here)

  FRN 544324

  • Employed By (18 Jul 2014 to 30 Jun 2016)
• Merchant House Financial Services Ltd (no longer approved here)

  FRN 538416

  • Employed By (16 Mar 2011 to 8 Dec 2019)

No changes recorded yet.