Ian Geoffrey Maltby

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.

  • MONEY TREE FINANCIAL PLANNING LTD

    FRN 610798

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (4 Feb 2014 to 8 Dec 2019)
    • CF1 Director (4 Feb 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Feb 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Feb 2014 to 30 Sep 2018)
  • Financial Advice Centre Limited (no longer approved here)

    FRN 413317

    • CF30 Customer (1 Nov 2007 to 21 Feb 2014)
    • CF24 Pension Transfer Specialist (1 Mar 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
  • Howard Wright Ltd (no longer approved here)

    FRN 114610

    • CF24 Pension Transfer Specialist (6 Aug 2002 to 28 Feb 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2007)

Recent activity

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

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