Ian James Brown

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.

  • Pelham Financial Limited

    FRN 792964

    • 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)
    • [FCA CF] Client dealing (since 28 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 28 Apr 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (28 Apr 2021 to 13 Aug 2021)
    • [FCA CF] Significant management (28 Apr 2021 to 13 Aug 2021)
    • CF1 Director (1 Mar 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2018 to 8 Dec 2019)
    • CF30 Customer (1 Mar 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Mar 2018 to 30 Sep 2018)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (9 Jul 2015 to 20 Dec 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (16 Aug 2005 to 14 Apr 2006)

Recent activity

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

No changes recorded yet.