Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Headway Wealth ltd
FRN 841266
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF16 Compliance Oversight (since 8 Nov 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Nov 2024)
- Responsibility for MCD Intermediation (since 8 Nov 2024)
- Responsible for Insurance Distribution (since 8 Nov 2024)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Apr 2022)
- CF11 Money Laundering Reporting (17 Sep 2019 to 8 Dec 2019)
- CF1 Director (17 Sep 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.