Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
PLAN AHEAD FINANCIAL LTD
FRN 450780
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- [FCA CF] Functions requiring qualifications (since 28 Mar 2020)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF30 Customer (1 Nov 2007 to 24 Dec 2012)
- CF1 Director (21 Jun 2006 to 8 Dec 2019)
- CF11 Money Laundering Reporting (21 Jun 2006 to 8 Dec 2019)
- CF21 Investment Adviser (21 Jun 2006 to 31 Oct 2007)
- CF8 Apportionment and Oversight (21 Jun 2006 to 31 Mar 2009)
- Responsible for Insurance Mediation (21 Jun 2006 to 30 Sep 2018)
- CF10 Compliance Oversight (21 Jun 2006 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.