Mark Hale

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Sandycross Wealth Management LLP

    FRN 515432

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
    • [FCA CF] Client dealing (since 1 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (6 Apr 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Apr 2010 to 8 Dec 2019)
    • CF30 Customer (6 Apr 2010 to 8 Dec 2019)
    • CF4 Partner (6 Apr 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Apr 2010 to 30 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 22 Feb 2010)
    • CF21 Investment Adviser (7 Sep 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (9 Feb 2007 to 7 Sep 2007)
  • Burfields House Ltd (no longer approved here)

    FRN 416255

    • Employed By (23 Feb 2007 to 22 Feb 2010)
  • Westerham Financial Services Ltd (no longer approved here)

    FRN 401687

    • Employed By (9 Feb 2007 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.