Mark Peter Begg

Last updated
3 weeks ago
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Where they hold approval

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

  • Mark Begg Asset Management Ltd

    FRN 221308

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 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
    • [PRA CF] Key function holder (since 3 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
    • [FCA CF] Significant management (since 3 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (28 May 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (28 May 2003 to 31 Mar 2009)
    • CF1 Director (28 May 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (28 May 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (28 May 2003 to 31 Oct 2007)

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

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