Mark Richard Bex

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 Bex

    FRN 469658

    • 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)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (8 Oct 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (8 Oct 2007 to 8 Dec 2019)
  • Faraday Mortgage Associates Limited (no longer approved here)

    FRN 302658

    • Responsible for Insurance Mediation (18 Apr 2007 to 12 Feb 2018)
    • CF11 Money Laundering Reporting (18 Apr 2007 to 12 Feb 2018)
    • CF1 Director (18 Apr 2007 to 12 Feb 2018)
    • CF8 Apportionment and Oversight (18 Apr 2007 to 31 Mar 2009)
  • Rennie Evans Financial Management Limited (no longer approved here)

    FRN 189082

    • (12)Employed By (7 Nov 2003 to 8 Dec 2019)
  • The Dunne Partnership (no longer approved here)

    FRN 165696

    • Employed By (1 Dec 2001 to 19 Apr 2004)

Recent activity

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

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