Louise Margaret Tait

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.

  • O'Connor and Co (Financial Services) Limited

    FRN 542264

    • (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (1)9A. Advising on P2P agreements
    • (3)4. Giving personal recommendations on retail investment products which are not broker funds
    • (5)SMF16 Compliance Oversight (since 1 Jun 2023)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jun 2023)
    • (6)SMF3 Executive Director (since 5 Aug 2022)
    • (7)[FCA CF] Client dealing (since 9 Dec 2019)
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (7)CF30 Customer (25 Jun 2019 to 8 Dec 2019)

Recent activity

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

  1. controlled function removed: SMF16 Compliance Oversight at O'Connor and Co (Financial Services) Limited

  2. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at O'Connor and Co (Financial Services) Limited

  3. controlled function removed: 9A. Advising on P2P agreements at O'Connor and Co (Financial Services) Limited

  4. 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 O'Connor and Co (Financial Services) Limited

  5. controlled function removed: [FCA CF] Functions requiring qualifications at O'Connor and Co (Financial Services) Limited

  6. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at O'Connor and Co (Financial Services) Limited

  7. controlled function removed: SMF3 Executive Director at O'Connor and Co (Financial Services) Limited

  8. controlled function removed: [FCA CF] Client dealing at O'Connor and Co (Financial Services) Limited

  9. controlled function added: (7)CF30 Customer at O'Connor and Co (Financial Services) Limited

  10. controlled function added: (1)9A. Advising on P2P agreements at O'Connor and Co (Financial Services) Limited

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