Mark Paul Wallis

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • FINANCE SHOP LIMITED

    FRN 551177

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Feb 2022)
    • SMF16 Compliance Oversight (since 18 Feb 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (3 Oct 2011 to 8 Dec 2019)
  • The Finance Shop (1750) (no longer approved here)

    FRN 191988

    • Employed By (5 May 2005 to 22 Nov 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 4 May 2005)

Recent activity

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

No changes recorded yet.