Lee Mark Tomkins

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.

  • W&T Limited (no longer approved here)

    FRN 439620

    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Jul 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 25 Feb 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Feb 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Jul 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 2 Jul 2021)
    • SMF3 Executive Director (9 Dec 2019 to 2 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Jul 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Jul 2021)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 2 Jul 2021)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF14 Risk Assessment (20 Oct 2006 to 31 Oct 2007)
    • CF13 Finance (20 Oct 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (20 Oct 2006 to 31 Oct 2007)
    • CF15 Internal Audit (20 Oct 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
  • Mortgage Advice Bureau Limited (no longer approved here)

    FRN 455545

    • CF1 Director (AR) (19 May 2011 to 23 Mar 2015)
  • Mortgage Advice Bureau (Derby) Limited (no longer approved here)

    FRN 466154

    • CF1 Director (AR) (19 May 2011 to 23 Mar 2015)
  • Wilkie May and Tuckwood Mortgage Services Ltd (no longer approved here)

    FRN 548047

    • Employed By (19 May 2011 to 23 Mar 2015)
  • Blackdown Financial Services Limited (no longer approved here)

    FRN 120839

    • Employed By (1 Mar 1999 to 15 Nov 2006)

Recent activity

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

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