Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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EXECUTIVE FINANCIAL SERVICES LIMITED
FRN 430887
- [FCA CF] Significant management (since 9 Dec 2019)
- Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Jun 2005 to 8 Dec 2019)
- CF8 Apportionment and Oversight (1 Jun 2005 to 31 Mar 2009)
- CF10 Compliance Oversight (1 Jun 2005 to 8 Dec 2019)
- CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
- Responsible for Insurance Mediation (1 Jun 2005 to 30 Sep 2018)
- CF1 Director (1 Jun 2005 to 8 Dec 2019)
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- CF21 Investment Adviser (10 Feb 2004 to 3 Sep 2004)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 10 Feb 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.