Mark James Morsley

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.

  • MARK J MORSLEY AND ASSOCIATES LTD

    FRN 552440

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 21 Jun 2024)
    • CF30 Customer (4 Aug 2011 to 8 Dec 2019)
    • CF1 Director (4 Aug 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Aug 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Aug 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Aug 2011 to 30 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (4 Mar 2010 to 4 Apr 2011)
    • CF30 Customer (4 Mar 2010 to 4 Apr 2011)

Recent activity

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

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