James Sheldon Hall

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.

  • James Sheldon Hall

    FRN 671493

    • 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] Functions requiring qualifications (since 25 Jun 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF29 Limited scope function (limited scope SMCR firms only) (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 20 Nov 2018)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF8 Apportionment and Oversight (20 Nov 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jun 2015 to 8 Dec 2019)
    • CF30 Customer (11 Jun 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Jun 2015 to 30 Sep 2018)
    • CF10 Compliance Oversight (11 Jun 2015 to 8 Dec 2019)
  • Direct Mortgages (Scotland) Ltd (no longer approved here)

    FRN 414491

    • (5)Employed By (2 Jan 2009 to 30 Apr 2015)
  • Gallagher McRoberts Financial Partners Limited (no longer approved here)

    FRN 194358

    • (5)Employed By (27 Nov 2002 to 11 Nov 2003)
  • Simple Financial Services Limited (no longer approved here)

    FRN 200423

    • (3)Employed By (18 Jan 2001 to 31 Oct 2002)

Recent activity

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

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