Helen Jayne West

Last updated
3 weeks ago
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Where they hold approval

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

  • West Financial Management Co Limited

    FRN 230809

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 5 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 5 Aug 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (5 Aug 2020 to 16 Mar 2021)
    • [PRA CF] Key function holder (5 Aug 2020 to 16 Mar 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (19 Feb 2004 to 31 Mar 2009)
    • CF1 Director (19 Feb 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Feb 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Feb 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (19 Feb 2004 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (19 Feb 2004 to 31 Oct 2007)
  • Ivor Jones & Co. Ltd. (no longer approved here)

    FRN 114997

    • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2003)

Recent activity

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

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