John Patrick Foley

Last updated
1 week ago
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Where they hold approval

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

  • John Patrick Financial Services Limited

    FRN 771505

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 13 Apr 2017)
    • CF30 Customer (13 Apr 2017 to 8 Dec 2019)
    • CF1 Director (13 Apr 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Apr 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Apr 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Apr 2017 to 30 Sep 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (4 Jan 2010 to 11 Sep 2012)
  • Ryans Financial Services Ltd (no longer approved here)

    FRN 171628

    • (2)Employed By (31 Dec 2003 to 23 Dec 2009)

Recent activity

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

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