Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
HUTCHISON & WHITE LTD
FRN 478956
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 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
- [FCA CF] Client dealing (since 14 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 5 Aug 2019)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF11 Money Laundering Reporting (5 Aug 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (5 Aug 2019 to 8 Dec 2019)
- CF30 Customer (25 Mar 2010 to 8 Dec 2019)
- CF1 Director (1 May 2008 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.