Jonathan Peter Watson

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.

  • WATSON MOORE INDEPENDENT FINANCIAL ADVISERS LIMITED

    FRN 433008

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Sep 2022)
    • SMF3 Executive Director (9 Dec 2019 to 2 Nov 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Sep 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Nov 2005 to 13 Dec 2016)
    • CF1 Director (21 Nov 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Nov 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (21 Nov 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (21 Nov 2005 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (21 Nov 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (21 Nov 2005 to 31 Mar 2009)

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