Lisa Mia Luck

Last updated
2 weeks ago
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Where they hold approval

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

  • Charterhouse Financial Planning Limited

    FRN 449128

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF8 Apportionment and Oversight (1 Dec 2008 to 31 Mar 2009)
    • CF10 Compliance Oversight (27 Nov 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (28 Jul 2006 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (28 Jul 2006 to 8 Dec 2019)
    • CF1 Director (28 Jul 2006 to 8 Dec 2019)
  • Charterhouse Financial Planning Ltd (no longer approved here)

    FRN 231612

    • Employed By (25 Feb 2004 to 27 Jul 2006)

Recent activity

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

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