Mahesh Mistry

Last updated
1 week ago
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Where they hold approval

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

  • MNM Financial Ltd

    FRN 799740

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 9A. Advising on P2P agreements
    • 14. Managing investments
    • 10. Broker fund adviser
    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 1 May 2018)
    • CF11 Money Laundering Reporting (1 May 2018 to 8 Dec 2019)
    • CF1 Director (1 May 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 May 2018 to 8 Dec 2019)
    • CF30 Customer (1 May 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 May 2018 to 30 Sep 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (14 Mar 2023 to 13 Feb 2025)
    • [FCA CF] Functions requiring qualifications (14 Mar 2023 to 13 Feb 2025)
    • CF30 Customer (11 Sep 2012 to 15 Jun 2018)
  • MNM Financial (no longer approved here)

    FRN 226143

    • (1)Employed By (16 Jul 2003 to 2 Jul 2012)

Recent activity

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

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