James Leonard Rolfe

Last updated
6 days ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • BMSG Wealth Management Limited

    FRN 929810

    • 21. Advising or arranging (bringing about) equity release transactions
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Responsibility for MCD Intermediation (since 20 Oct 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Feb 2023)
    • Responsible for Insurance Distribution (since 28 Feb 2023)
    • SMF16 Compliance Oversight (since 28 Feb 2023)
    • SMF3 Executive Director (since 28 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 26 Oct 2022)
    • [FCA CF] Client dealing (since 26 Oct 2022)
  • Ampla Consumer Finance Limited (no longer approved here)

    FRN 792153

    • SMF3 Executive Director (14 Dec 2020 to 26 Nov 2021)

Recent activity

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

No changes recorded yet.