Mark Edward Wiltshire Lloyd

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.

  • Lloyds Independent Financial Services

    FRN 628264

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF4 Partner (2 Dec 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Dec 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Dec 2014 to 8 Dec 2019)
    • CF30 Customer (2 Dec 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Dec 2014 to 30 Sep 2018)
  • Lloyds Financial Services (no longer approved here)

    FRN 409091

    • (1)Employed By (8 Nov 2006 to 28 Nov 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (16 Dec 2003 to 15 Nov 2004)

Recent activity

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

No changes recorded yet.