John Nigel Bruce

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.

  • BRUCE & CO LEGAL & FINANCIAL LTD.

    FRN 441383

    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 9A. Advising on P2P agreements
    • 14. Managing investments
    • 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
    • [FCA CF] Significant management (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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 6 Oct 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
  • J Bruce (Legal & Financial) Ltd (no longer approved here)

    FRN 210369

    • (1)Employed By (19 Mar 2002 to 30 Dec 2005)
  • North East Independent Financial Services Ltd (no longer approved here)

    FRN 179860

    • (3)Employed By (30 Mar 2001 to 1 May 2002)

Recent activity

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

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