Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Studio 61 Wealth Management Limited
FRN 630999
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
- 7. Giving personal recommendations on long-term care insurance contracts
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 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
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsibility for MCD Intermediation (since 13 Jul 2022)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF10 Compliance Oversight (12 Jan 2015 to 8 Dec 2019)
- CF1 Director (12 Jan 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (12 Jan 2015 to 8 Dec 2019)
- CF28 Systems and controls (12 Jan 2015 to 8 Dec 2019)
- CF3 Chief Executive (12 Jan 2015 to 8 Dec 2019)
- CF30 Customer (12 Jan 2015 to 8 Dec 2019)
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- CF30 Customer (27 Jun 2013 to 5 Feb 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.