James Espin

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.

  • IQ FINANCIAL ADVICE LIMITED

    FRN 586078

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 26 Apr 2016)
    • CF11 Money Laundering Reporting (14 Dec 2012 to 8 Dec 2019)
    • CF1 Director (14 Dec 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (14 Dec 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Dec 2012 to 30 Sep 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (11 Sep 2012 to 28 Feb 2013)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 2 Jul 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (28 Oct 2003 to 5 Apr 2007)
    • CF22 Investment Adviser (Trainee) (1 Jul 2002 to 28 Oct 2003)

Recent activity

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

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