Ian Charles Bromley

Last updated
3 weeks ago
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Where they hold approval

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

  • Concerva Limited

    FRN 196679

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Mar 2023)
    • Responsible for Insurance Mediation (24 Jan 2017 to 30 Sep 2018)
    • CF10 Compliance Oversight (3 Jan 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2017 to 8 Dec 2019)
    • CF1 Director (19 Feb 2014 to 8 Dec 2019)
    • CF30 Customer (7 Sep 2009 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (20 Sep 2006 to 17 Nov 2006)
    • CF22 Investment Adviser (Trainee) (30 Sep 2005 to 20 Sep 2006)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (20 Sep 2006 to 17 Nov 2006)
    • CF22 Investment Adviser (Trainee) (30 Sep 2005 to 20 Sep 2006)

Recent activity

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

No changes recorded yet.