John Thomas Allen

• TEAM FINANCIAL SERVICES LIMITED

  FRN 301107

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 9 Dec 2019)
  • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (since 9 Dec 2019)
  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF28 Systems and controls (1 Nov 2007 to 8 Mar 2012)
  • CF14 Risk Assessment (30 Jun 2005 to 31 Oct 2007)
  • CF15 Internal Audit (30 Jun 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (30 Jun 2005 to 31 Mar 2009)
  • CF10 Compliance Oversight (30 Jun 2005 to 8 Mar 2012)
  • CF11 Money Laundering Reporting (30 Jun 2005 to 8 Mar 2012)
  • CF13 Finance (30 Jun 2005 to 31 Oct 2007)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (31 Oct 2004 to 8 Dec 2019)

No changes recorded yet.