Jonathan Ashley Colman

Last updated
2 weeks ago
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Where they hold approval

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

  • Thomas Penn Partnership Ltd

    FRN 475009

    • 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)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (27 Oct 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Oct 2016 to 8 Dec 2019)
    • CF1 Director (27 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (7 Mar 2016 to 8 Dec 2019)
  • VISION SOUTH WEST LIMITED (no longer approved here)

    FRN 593374

    • Employed By (22 Feb 2013 to 23 Jan 2016)
  • Vision Independent Financial Planning Ltd (no longer approved here)

    FRN 487395

    • CF1 Director (AR) (5 Nov 2012 to 23 Jan 2016)
    • CF29 Significant management (9 May 2011 to 30 Apr 2014)
    • CF30 Customer (9 May 2011 to 23 Jan 2016)

Recent activity

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

No changes recorded yet.