Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- [FCA CF] Functions requiring qualifications (since 1 Jun 2020)
- [FCA CF] Client dealing (since 1 Jun 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Apr 2011 to 8 Dec 2019)
- Responsible for Insurance Mediation (1 Apr 2011 to 30 Sep 2018)
- CF1 Director (1 Apr 2011 to 8 Dec 2019)
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- CF1 Director (AR) (10 Jul 2009 to 30 Aug 2011)
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- CF30 Customer (1 Nov 2007 to 23 May 2011)
- CF1 Director (AR) (7 Mar 2005 to 29 Jun 2012)
- CF21 Investment Adviser (25 Feb 2004 to 31 Oct 2007)
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- CF16 Significant Mgt (Desgntd Investment Business) (13 Jun 2002 to 20 Feb 2003)
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- CF16 Significant Mgt (Desgntd Investment Business) (13 Jun 2002 to 4 Nov 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.