Mark Clinton Sand

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.

  • Sand Financial Planning Limited

    FRN 594431

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Proprietary trader (9 Dec 2019 to 7 Jul 2023)
    • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
    • CF1 Director (1 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2013 to 30 Sep 2018)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF4 Partner (AR) (16 Apr 2009 to 29 Jul 2013)
    • CF30 Customer (1 Nov 2007 to 29 Jul 2013)
    • CF21 Investment Adviser (1 Aug 2002 to 31 Oct 2007)
    • CF7 Sole Trader (AR) (1 Aug 2002 to 31 Jan 2007)
  • Sand Financial Consultants (no longer approved here)

    FRN 211861

    • (2)Employed By (1 Aug 2002 to 29 Jul 2013)

Recent activity

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

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