John Murray Elderton

Last updated
2 weeks ago
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Where they hold approval

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

  • Aspin Corporate Services Limited

    FRN 494968

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [PRA CF] Significant risk taker or Material risk taker (since 9 Dec 2020)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2020)
    • [FCA CF] CASS oversight function (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Significant management (since 9 Dec 2020)
    • [PRA CF] Key function holder (since 9 Dec 2020)
    • SMF1 Chief Executive (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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (since 27 Apr 2009)
    • CF30 Customer (since 6 Apr 2009)
    • CF10 Compliance Oversight (6 Apr 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Apr 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Apr 2009 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (6 Apr 2009 to 8 Dec 2019)
    • CF1 Director (6 Apr 2009 to 8 Dec 2019)
    • CF3 Chief Executive (6 Apr 2009 to 8 Dec 2019)

Recent activity

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

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