John Walker

Last updated
3 weeks ago
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Where they hold approval

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

  • Susworth Financial Services

    FRN 300528

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Significant management (since 4 May 2021)
    • [FCA CF] Functions requiring qualifications (since 4 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (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 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF4 Partner (31 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • CF15 Internal Audit (31 Oct 2004 to 31 Oct 2007)
    • CF14 Risk Assessment (31 Oct 2004 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (31 Oct 2004 to 31 Oct 2007)
    • CF13 Finance (31 Oct 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (31 Oct 2004 to 8 Jan 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (1 Dec 2001 to 26 Feb 2002)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (1 Dec 2001 to 26 Feb 2002)
    • CF4 Partner (AR) (1 Dec 2001 to 26 Feb 2002)

Recent activity

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

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