Guy Charles Davies

Last updated
1 week ago
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Where they hold approval

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

  • YOKE FINANCIAL CONSULTANTS LTD

    FRN 826126

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (10 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (10 Oct 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Oct 2019 to 8 Dec 2019)
  • Yoke Financial Consultants LTD (no longer approved here)

    FRN 801754

    • Employed By (4 Jun 2018 to 30 Jun 2019)
  • HANDELSBANKEN WEALTH & ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 197340

    • CF30 Customer (28 Oct 2013 to 14 Oct 2016)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF30 Customer (1 Nov 2007 to 24 Oct 2008)
    • CF27 Investment Management (27 Jun 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (27 Jun 2006 to 31 Oct 2007)
  • Baring Fund Managers Limited (no longer approved here)

    FRN 119187

    • CF21 Investment Adviser (27 Nov 2003 to 30 Dec 2004)
    • CF22 Investment Adviser (Trainee) (18 Aug 2003 to 27 Nov 2003)
  • Baring Asset Management Limited (no longer approved here)

    FRN 170601

    • CF21 Investment Adviser (27 Nov 2003 to 30 Dec 2004)
    • CF22 Investment Adviser (Trainee) (18 Aug 2003 to 27 Nov 2003)
  • Lazard Asset Management Limited (no longer approved here)

    FRN 121839

    • CF27 Investment Management (1 Dec 2001 to 26 Jun 2003)

Recent activity

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

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