Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Loraine Marsh
FRN 402303
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF11 Money Laundering Reporting (5 Dec 2013 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF10 Compliance Oversight (10 Sep 2004 to 8 Dec 2019)
- CF21 Investment Adviser (10 Sep 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.