John Rainer Hughes

Last updated
3 days ago
Watch for changes

Where they hold approval

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

  • COMPASS INDEPENDENT FINANCIAL SERVICES LIMITED

    FRN 563812

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (1 Dec 2020 to 26 May 2022)
    • [FCA CF] Significant management (1 Dec 2020 to 26 May 2022)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
    • CF1 Director (3 Jan 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
  • Compass Independent Financial Services Ltd (no longer approved here)

    FRN 196951

    • Employed By (1 Dec 2001 to 31 Dec 2011)
  • Pink Investments Limited (no longer approved here)

    FRN 192033

    • (4)Employed By (20 Sep 2001 to 27 May 2004)

Recent activity

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

No changes recorded yet.