Louise Claro

Last updated
3 weeks ago
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Where they hold approval

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

  • Circle Financial Services Limited

    FRN 148759

    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Significant management (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Dec 2019)
    • Responsible for Insurance Distribution (since 24 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Manager of certification employee (9 Dec 2020 to 10 Dec 2020)
    • CF10 Compliance Oversight (31 Mar 2014 to 8 Dec 2019)
    • CF1 Director (31 Mar 2014 to 8 Dec 2019)
    • CF30 Customer (11 Mar 2014 to 8 Dec 2019)
  • Unity Independent Financial Advisers Limited (no longer approved here)

    FRN 197130

    • Employed By (20 Jun 2005 to 12 May 2006)

Recent activity

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

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