Joy Michelle Clegg

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.

  • BHP Financial Planning Limited

    FRN 191336

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Responsible for Insurance Distribution (since 1 Feb 2022)
    • [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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (AR) (4 Apr 2016 to 7 Nov 2017)
    • CF11 Money Laundering Reporting (3 Jun 2011 to 8 Dec 2019)
    • CF1 Director (3 Jun 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jun 2011 to 8 Dec 2019)
    • CF30 Customer (3 Jun 2011 to 8 Dec 2019)
  • BHP Corporate FP Ltd (no longer approved here)

    FRN 729502

    • Employed By (4 Apr 2016 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF29 Significant management (1 Nov 2007 to 30 Apr 2008)
    • CF16 Significant Mgt (Desgntd Investment Business) (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

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