James Paul Mason

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.

  • Mason Financial Management Limited

    FRN 722840

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • [FCA CF] Client dealing (since 2 Mar 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)
    • Responsible for Insurance Mediation (1 Mar 2016 to 30 Sep 2018)
    • CF30 Customer (1 Mar 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2016 to 8 Dec 2019)
    • CF1 Director (1 Mar 2016 to 8 Dec 2019)
  • Fairstone Wealth Management Limited (no longer approved here)

    FRN 188596

    • CF30 Customer (21 Sep 2010 to 9 Jul 2013)

Recent activity

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

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