Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Murphy Sawers Consulting Limited
FRN 193213
- 11. Pension transfer specialist
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [PRA CF] Key function holder (since 3 Aug 2020)
- Director of firm who is not a certification employee or a SMF manager (since 3 Aug 2020)
- [FCA CF] Client dealing (since 3 Aug 2020)
- [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
- [FCA CF] Significant management (since 3 Aug 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
- CF8 Apportionment and Oversight (1 Dec 2001 to 4 Mar 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.