Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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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.
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controlled function added: (8)Sole trader dealing with clients for which they require qualification at Lionel David Eustace Thomas