Jason Mark Cozens

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.

  • NEWMAN COZENS LIMITED

    FRN 456286

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Sep 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Sep 2024)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 22 Apr 2021)
    • CF11 Money Laundering Reporting (10 Jun 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Jun 2009 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (28 Nov 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (28 Nov 2006 to 8 Dec 2019)
    • CF1 Director (28 Nov 2006 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (1 Dec 2001 to 30 Nov 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2006)
  • Newman Cozens Limited (no longer approved here)

    FRN 200348

    • Employed By (1 Dec 2001 to 30 Nov 2006)

Recent activity

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

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