Howard John Scott

Last updated
2 weeks ago
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Where they hold approval

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

  • INDEPENDENT ADVICE LTD

    FRN 524535

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 12 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (2 Aug 2010 to 8 Dec 2019)
    • CF1 Director (2 Aug 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Aug 2010 to 8 Dec 2019)
    • CF30 Customer (2 Aug 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Aug 2010 to 30 Sep 2018)
  • HJ Scott & Co (U613) (no longer approved here)

    FRN 183743

    • (4)Employed By (1 Oct 1998 to 22 Dec 2003)

Recent activity

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

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