Ian Clive Tandy

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.

  • Cavendish Private Wealth Limited

    FRN 605533

    • 9A. Advising on P2P agreements
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (9 Dec 2019 to 26 Nov 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 26 Nov 2021)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 26 Nov 2021)
    • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 26 Nov 2021)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 23 Mar 2021)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • CF1 Director (2 Jan 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF1 Director (AR) (24 Nov 2005 to 1 Jul 2007)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 24 Nov 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2004)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Oct 2004)
  • IT Associates Financial Planning Ltd (no longer approved here)

    FRN 182417

    • Employed By (1 Dec 2001 to 25 Dec 2013)

Recent activity

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

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