Helmut Franz Rudolf Fischer

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.

  • Queens Gate Capital Advisors Limited

    FRN 705617

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (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)
    • CF10 Compliance Oversight (19 Nov 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Nov 2015 to 8 Dec 2019)
    • CF3 Chief Executive (19 Nov 2015 to 8 Dec 2019)
    • CF30 Customer (19 Nov 2015 to 8 Dec 2019)
    • CF1 Director (19 Nov 2015 to 8 Dec 2019)

Recent activity

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

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