Janice Elizabeth Franks

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.

  • Barry Fenton Independent Financial Advisers Ltd (no longer approved here)

    FRN 460779

    • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 29 May 2024)
    • [FCA CF] Client dealing (24 Nov 2020 to 29 May 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Sep 2023)
    • SMF3 Executive Director (9 Dec 2019 to 1 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Sep 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Sep 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Jan 2007 to 30 Sep 2018)
    • CF1 Director (16 Jan 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (16 Jan 2007 to 31 Mar 2009)
    • CF21 Investment Adviser (16 Jan 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (16 Jan 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Jan 2007 to 8 Dec 2019)
  • Barry Fenton Independent Financial Advisers Ltd (no longer approved here)

    FRN 214507

    • Employed By (1 Feb 2005 to 16 Aug 2005)

Recent activity

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

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