Lee Michael Clayton

Last updated
5 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • CHN Investment Management Ltd

    FRN 982710

    • SMF3 Executive Director (since 5 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Sep 2023)
    • SMF16 Compliance Oversight (since 5 Sep 2023)
    • SMF1 Chief Executive (since 5 Sep 2023)
  • Clayton Holmes Naisbitt Financial Consultancy LLP

    FRN 485351

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • [FCA CF] Client dealing (since 2 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (9 Jan 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Mar 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Mar 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 Aug 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (6 Aug 2008 to 30 Sep 2018)
    • CF4 Partner (6 Aug 2008 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc

    FRN 195351

    • CF1 Director (AR) (since 16 Apr 2007)
    • CF30 Customer (1 Nov 2007 to 10 Apr 2012)
    • CF21 Investment Adviser (13 Dec 2004 to 31 Oct 2007)
    • CF4 Partner (AR) (2 Jul 2004 to 16 Apr 2007)
    • CF22 Investment Adviser (Trainee) (2 Jul 2004 to 13 Dec 2004)
  • Clayton Holmes Naisbitt Limited

    FRN 401571

    • Employed By (since 2 Jul 2004)
  • Burrow & Crowe Wealth Management LLP (no longer approved here)

    FRN 616474

    • Employed By (5 Mar 2014 to 10 Nov 2015)

Recent activity

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

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