Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Iain Brown
FRN 150626
- 10. Broker fund adviser
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
- [FCA CF] CASS oversight function (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.