Iain William Forrest

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.

  • Forrest Financial Management Limited

    FRN 748565

    • 10. Broker fund adviser
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (3 Nov 2016 to 30 Sep 2018)
    • CF1 Director (3 Nov 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Nov 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Nov 2016 to 8 Dec 2019)
    • CF30 Customer (3 Nov 2016 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (3 Nov 2016 to 1 Oct 2019)
  • NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)

    FRN 117664

    • CF30 Customer (29 Jan 2013 to 26 Mar 2014)

Recent activity

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

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