Malcolm Dale Ward

Watch for changes

Where they hold approval

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

Mortgage Advice Bureau Limited
FRN 455545
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
Personal Touch Financial Services Limited (no longer approved here)
FRN 187834
- CF30 Customer (26 Jun 2008 to 2 Mar 2009)
Gardner Independent Limited (no longer approved here)
FRN 409594
- (1)Employed By (26 Jun 2008 to 2 Mar 2009)
Legal and General Assurance Society Limited (no longer approved here)
FRN 117659
- CF30 Customer (1 Nov 2007 to 1 Nov 2007)
- CF22 Investment Adviser (Trainee) (16 Nov 2006 to 31 Oct 2007)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- CF30 Customer (1 Nov 2007 to 1 Nov 2007)
- CF22 Investment Adviser (Trainee) (16 Nov 2006 to 31 Oct 2007)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (1 Dec 2001 to 13 Aug 2005)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.