Where they hold approval

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

  • O'Connor and Co (Financial Services) Limited (no longer approved here)

    FRN 542264

    • (23)[FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
    • (27)[FCA CF] Significant management (9 Dec 2019 to 24 Mar 2021)
    • (17)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jun 2023)
    • (18)SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2023)
    • (19)SMF3 Executive Director (9 Dec 2019 to 1 Nov 2023)
    • (26)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
    • (24)[FCA CF] Manager of certification employee (9 Dec 2019 to 24 Mar 2021)
    • (15)Responsible for Insurance Distribution (1 Oct 2018 to 1 Jun 2023)
    • (22)CF10 Compliance Oversight (19 Aug 2011 to 8 Dec 2019)
    • (21)CF11 Money Laundering Reporting (19 Aug 2011 to 8 Dec 2019)
    • (25)CF1 Director (19 Aug 2011 to 8 Dec 2019)
    • (20)CF30 Customer (19 Aug 2011 to 31 Dec 2012)
    • (16)Responsible for Insurance Mediation (19 Aug 2011 to 30 Sep 2018)

Recent activity

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

  1. controlled function added: (15)Responsible for Insurance Distribution at O'Connor and Co (Financial Services) Limited

  2. controlled function added: (16)Responsible for Insurance Mediation at O'Connor and Co (Financial Services) Limited

  3. controlled function added: (17)SMF17 Money Laundering Reporting Officer (MLRO) at O'Connor and Co (Financial Services) Limited

  4. controlled function added: (18)SMF16 Compliance Oversight at O'Connor and Co (Financial Services) Limited

  5. controlled function added: (19)SMF3 Executive Director at O'Connor and Co (Financial Services) Limited

  6. controlled function added: (20)CF30 Customer at O'Connor and Co (Financial Services) Limited

  7. controlled function added: (21)CF11 Money Laundering Reporting at O'Connor and Co (Financial Services) Limited

  8. controlled function added: (22)CF10 Compliance Oversight at O'Connor and Co (Financial Services) Limited

  9. controlled function added: (23)[FCA CF] Client dealing at O'Connor and Co (Financial Services) Limited

  10. controlled function added: (24)[FCA CF] Manager of certification employee at O'Connor and Co (Financial Services) Limited