James Peter Cole

Last updated
3 weeks ago
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Where they hold approval

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

  • Talis Financial Advisers Ltd

    FRN 150458

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • CF1 Director (AR) (since 17 Jun 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 29 Mar 2019)
    • Responsible for Insurance Distribution (since 8 Mar 2019)
    • CF11 Money Laundering Reporting (8 Mar 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Mar 2019 to 8 Dec 2019)
    • CF30 Customer (24 Jul 2017 to 8 Dec 2019)
    • CF1 Director (24 Jul 2017 to 8 Dec 2019)
  • Regency (Support Services) Limited

    FRN 214381

    • (1)Employed By (since 17 Jun 2021)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (28 Jul 2005 to 4 May 2006)

Recent activity

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

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