John William Thomas Harris

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.

  • CRN FINANCIAL SERVICES LIMITED

    FRN 402441

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 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 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)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF10 Compliance Oversight (29 Nov 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Nov 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (29 Oct 2004 to 31 Oct 2007)
  • CRN Financial Management Services Ltd (no longer approved here)

    FRN 159225

    • Employed By (1 Dec 2001 to 29 Nov 2004)

Recent activity

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

No changes recorded yet.