Jack Andrew Sam

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.

  • Woodcote Financial Ltd

    FRN 651145

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 25 Feb 2021)
    • [FCA CF] Manager of certification employee (since 25 Feb 2021)
    • [FCA CF] Material risk taker (since 25 Feb 2021)
    • [FCA CF] Proprietary trader (since 25 Feb 2021)
    • [FCA CF] Significant management (since 25 Feb 2021)
    • [PRA CF] Key function holder (since 25 Feb 2021)
    • [FCA CF] Benchmark submission and administration (since 25 Feb 2021)
    • [FCA CF] CASS oversight function (since 25 Feb 2021)
    • [FCA CF] Functions requiring qualifications (since 25 Feb 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 12 Dec 2016)
    • Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
    • CF1 Director (2 Feb 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Feb 2015 to 8 Dec 2019)
    • CF30 Customer (2 Feb 2015 to 8 Dec 2019)
  • Jack Sam (no longer approved here)

    FRN 181027

    • (2)Employed By (1 Oct 1998 to 3 Jun 2015)

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

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