John Anthony Fearn

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • PRACTICE FINANCIAL MANAGEMENT LIMITED

    FRN 228837

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 15 Jan 2019)
    • CF10 Compliance Oversight (11 Apr 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Apr 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (29 Feb 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (29 Feb 2004 to 31 Oct 2007)
    • CF1 Director (29 Feb 2004 to 8 Dec 2019)

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

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