James Donald Little

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.

  • Alchemy Financial Limited

    FRN 617926

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • 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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (1 Sep 2014 to 8 Dec 2019)
    • CF1 Director (1 Sep 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2014 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Sep 2014 to 30 Sep 2018)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (1 Nov 2007 to 29 Aug 2014)
    • CF21 Investment Adviser (29 Jul 2005 to 31 Oct 2007)
    • CF1 Director (AR) (29 Jul 2005 to 29 Aug 2014)
  • Alchemy Financial Limited (no longer approved here)

    FRN 435896

    • Employed By (29 Jul 2005 to 29 Aug 2014)
  • WMC Investment Managers (718) (no longer approved here)

    FRN 153496

    • Employed By (2 Oct 2000 to 27 Aug 2002)

Recent activity

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

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