Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 29 Sep 2022)
    • SMF16 Compliance Oversight (since 29 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Sep 2022)
    • SMF3 Executive Director (since 29 Sep 2022)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • CF30 Customer (2 Apr 2019 to 8 Dec 2019)
  • REGAN FINANCIAL LIMITED (no longer approved here)

    FRN 506821

    • CF30 Customer (19 Oct 2017 to 15 Mar 2019)

Recent activity

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

No changes recorded yet.