Julian Dudley Furnival

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.

  • Furnival Evans Limited

    FRN 612493

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 30 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 30 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Significant risk taker or Material risk taker (30 Jan 2020 to 31 Jan 2020)
    • [FCA CF] Manager of certification employee (30 Jan 2020 to 31 Jan 2020)
    • [FCA CF] Significant management (30 Jan 2020 to 31 Jan 2020)
    • CF11 Money Laundering Reporting (20 May 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 May 2014 to 8 Dec 2019)
    • CF1 Director (20 May 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 May 2014 to 30 Sep 2018)
    • CF30 Customer (20 May 2014 to 8 Dec 2019)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

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