James Anthony Moysey Toms

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.

  • Ruby Red Financial Planning Ltd

    FRN 842765

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 10. Broker fund adviser
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Significant management (since 2 Jan 2020)
    • [FCA CF] Manager of certification employee (since 2 Jan 2020)
    • [FCA CF] Material risk taker (since 2 Jan 2020)
    • Responsible for Insurance Distribution (since 2 Jan 2020)
    • SMF16 Compliance Oversight (since 2 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jan 2020)
    • SMF3 Executive Director (since 2 Jan 2020)
    • [FCA CF] Benchmark submission and administration (since 2 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Jan 2020)
  • Ivor Jones & Co. Ltd. (no longer approved here)

    FRN 114997

    • CF30 Customer (14 Jan 2016 to 8 Dec 2019)
  • SHIPMAN FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 513289

    • CF30 Customer (7 Mar 2014 to 24 Dec 2014)

Recent activity

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

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