Marc John Dellow

Last updated
2 weeks ago
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Where they hold approval

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

  • Finanalysis Limited

    FRN 611420

    • 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)
    • 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
    • [PRA CF] Key function holder (since 28 Apr 2021)
    • [FCA CF] Significant management (since 28 Apr 2021)
    • [FCA CF] Client dealing (since 28 Apr 2021)
    • [FCA CF] Proprietary trader (since 28 Apr 2021)
    • [FCA CF] Manager of certification employee (since 28 Apr 2021)
    • Sole trader dealing with clients for which they require qualification (since 28 Apr 2021)
    • [FCA CF] Benchmark submission and administration (since 28 Apr 2021)
    • [FCA CF] CASS oversight function (since 28 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 28 Apr 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
    • CF1 Director (1 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
  • Financial Aims Limited (no longer approved here)

    FRN 502969

    • Responsible for Insurance Mediation (1 Sep 2009 to 9 Jun 2014)
    • CF30 Customer (1 Sep 2009 to 9 Jun 2014)
    • CF11 Money Laundering Reporting (1 Sep 2009 to 21 Feb 2011)
    • CF10 Compliance Oversight (1 Sep 2009 to 9 Jun 2014)
    • CF1 Director (1 Sep 2009 to 9 Jun 2014)
  • Butlers Wharf Independent Advisers Ltd (no longer approved here)

    FRN 228451

    • Employed By (3 Aug 2009 to 18 Sep 2009)

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