Lionel David Eustace Thomas

Last updated
1 month ago
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Where they hold approval

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

  • Lionel David Eustace Thomas

    FRN 192209

    • (1)21. Advising or arranging (bringing about) equity release transactions
    • (2)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (3)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (4)4. Giving personal recommendations on retail investment products which are not broker funds
    • (8)Sole trader dealing with clients for which they require qualification (since 9 Dec 2020)
    • (7)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (6)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (5)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (4)CF11 Money Laundering Reporting (23 Nov 2012 to 8 Dec 2019)
    • (2)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • (5)CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • (3)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

  1. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Lionel David Eustace Thomas

  2. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Lionel David Eustace Thomas

  3. controlled function removed: Responsible for Insurance Distribution at Lionel David Eustace Thomas

  4. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Lionel David Eustace Thomas

  5. controlled function removed: SMF16 Compliance Oversight at Lionel David Eustace Thomas

  6. controlled function removed: Sole trader dealing with clients for which they require qualification at Lionel David Eustace Thomas

  7. controlled function removed: 21. Advising or arranging (bringing about) equity release transactions at Lionel David Eustace Thomas

  8. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Lionel David Eustace Thomas

  9. controlled function added: (1)Responsible for Insurance Mediation at Lionel David Eustace Thomas

  10. controlled function added: (2)CF30 Customer at Lionel David Eustace Thomas

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