Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- (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.
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controlled function added: (15)Responsible for Insurance Distribution at O'Connor and Co (Financial Services) Limited
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controlled function added: (16)Responsible for Insurance Mediation at O'Connor and Co (Financial Services) Limited
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controlled function added: (17)SMF17 Money Laundering Reporting Officer (MLRO) at O'Connor and Co (Financial Services) Limited
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controlled function added: (18)SMF16 Compliance Oversight at O'Connor and Co (Financial Services) Limited
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controlled function added: (19)SMF3 Executive Director at O'Connor and Co (Financial Services) Limited
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controlled function added: (20)CF30 Customer at O'Connor and Co (Financial Services) Limited
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controlled function added: (21)CF11 Money Laundering Reporting at O'Connor and Co (Financial Services) Limited
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controlled function added: (22)CF10 Compliance Oversight at O'Connor and Co (Financial Services) Limited
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controlled function added: (23)[FCA CF] Client dealing at O'Connor and Co (Financial Services) Limited
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controlled function added: (24)[FCA CF] Manager of certification employee at O'Connor and Co (Financial Services) Limited