John Alfred Rands

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.

  • Gateway Investment Services Limited

    FRN 703508

    • 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
    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Significant management (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (since 17 Jan 2017)
    • CF30 Customer (since 8 Oct 2015)
    • CF10 Compliance Oversight (8 Oct 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Oct 2015 to 30 Sep 2018)
    • CF1 Director (8 Oct 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Oct 2015 to 8 Dec 2019)
  • Aesir Wealth Ltd

    FRN 764841

    • (7)Employed By (since 7 Dec 2016)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (553)Employed By (18 Sep 2015 to 3 Nov 2016)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (20 Jun 2014 to 14 Mar 2015)
    • CF1 Director (AR) (20 Jan 2010 to 1 Apr 2012)
  • Charles Derby Wealth Management Limited (no longer approved here)

    FRN 535816

    • Employed By (21 May 2014 to 23 Sep 2015)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (2 Apr 2012 to 23 Sep 2015)
    • CF1 Director (AR) (2 Apr 2012 to 9 Jun 2014)

Recent activity

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

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