John Alexander Gordon Milne

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.

  • John Milne

    FRN 713967

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 17. Administrative functions in relation to managing investments
    • 10. Broker fund adviser
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (29 Jan 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (29 Jan 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (29 Jan 2016 to 30 Sep 2018)
  • John Alexander Gordon Milne (no longer approved here)

    FRN 152879

    • (5)Employed By (13 Sep 2012 to 28 Jan 2016)

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