Mark Alan Beresford

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.

  • Buxton Beresford Financial Planning Ltd (no longer approved here)

    FRN 596052

    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Oct 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Oct 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Oct 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Oct 2025)
    • SMF3 Executive Director (9 Dec 2019 to 27 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Oct 2025)
    • Responsibility for MCD Intermediation (1 Mar 2019 to 27 Oct 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 27 Oct 2025)
    • CF11 Money Laundering Reporting (1 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2013 to 8 Dec 2019)
    • CF1 Director (1 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2013 to 30 Sep 2018)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • CF30 Customer (1 Nov 2007 to 9 Sep 2010)
    • CF21 Investment Adviser (12 Apr 2006 to 31 Oct 2007)

Recent activity

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

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