Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Jason Ball
FRN 480864
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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)
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (5 Dec 2008 to 8 Dec 2019)
- CF11 Money Laundering Reporting (5 Dec 2008 to 8 Dec 2019)
- CF30 Customer (5 Dec 2008 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.