Ian Harby

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.

  • Concept Financial Solutions Limited

    FRN 624547

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 7 Feb 2024)
    • [PRA CF] Key function holder (9 Dec 2019 to 7 Feb 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 7 Feb 2024)
    • [FCA CF] Proprietary trader (9 Dec 2019 to 10 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2014 to 8 Dec 2019)
    • CF1 Director (1 Sep 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Sep 2014 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (27 May 2010 to 15 Dec 2011)
    • CF1 Director (AR) (27 May 2010 to 15 Dec 2011)
  • Concept Financial Solutions Ltd (no longer approved here)

    FRN 524426

    • Employed By (27 May 2010 to 1 Sep 2014)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 5 Mar 2010)
    • CF21 Investment Adviser (21 Dec 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Jan 2006 to 21 Dec 2006)

Recent activity

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

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