Iain Thomas George Hopes

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.

  • Wilson Chambers Limited

    FRN 546072

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Jul 2022)
    • CF4 Partner (AR) (19 Jun 2013 to 28 Jul 2022)
    • Responsible for Insurance Mediation (12 Sep 2011 to 30 Sep 2018)
    • CF1 Director (12 Sep 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Sep 2011 to 8 Dec 2019)
    • CF30 Customer (12 Sep 2011 to 28 Jul 2022)
    • CF11 Money Laundering Reporting (12 Sep 2011 to 8 Dec 2019)
  • WP WEALTH MANAGEMENT LLP (no longer approved here)

    FRN 575158

    • Employed By (14 May 2012 to 28 Jul 2022)

Recent activity

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

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