Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Fern Financial Planning Limited
FRN 767654
- 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)
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Functions requiring qualifications (since 22 Sep 2020)
- [FCA CF] Client dealing (since 22 Sep 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 1 Oct 2018)
- CF11 Money Laundering Reporting (15 Jun 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (15 Jun 2017 to 8 Dec 2019)
- CF30 Customer (15 Jun 2017 to 8 Dec 2019)
- Responsible for Insurance Mediation (15 Jun 2017 to 30 Sep 2018)
- CF1 Director (15 Jun 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.