Malcolm Dodd

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Ethical Investments (SW) Ltd

    FRN 828050

    • 9A. Advising on P2P agreements
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 9 Jul 2019)
    • CF10 Compliance Oversight (9 Jul 2019 to 8 Dec 2019)
    • CF1 Director (9 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (9 Jul 2019 to 8 Dec 2019)
  • Tom French & Associates Limited (no longer approved here)

    FRN 185513

    • CF30 Customer (1 Nov 2007 to 30 Dec 2011)
    • CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
  • CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 231910

    • (45)CF1 Director (1 Jul 2004 to 6 Oct 2005)
    • (44)CF11 Money Laundering Reporting (1 Jul 2004 to 3 Aug 2006)
    • (43)CF21 Investment Adviser (1 Jul 2004 to 31 Aug 2006)

Recent activity

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

  1. controlled function added: (43)CF21 Investment Adviser at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  2. controlled function added: (44)CF11 Money Laundering Reporting at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  3. controlled function added: (45)CF1 Director at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED