Mark Thompson

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.

  • THOMPSON FINANCIAL CONSULTING LIMITED

    FRN 509613

    • 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] Client dealing (since 22 Apr 2020)
    • [FCA CF] Significant management (since 22 Apr 2020)
    • [FCA CF] Functions requiring qualifications (since 22 Apr 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)
    • Responsible for Insurance Mediation (19 Jan 2010 to 30 Sep 2018)
    • CF30 Customer (19 Jan 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Jan 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Jan 2010 to 8 Dec 2019)
    • CF1 Director (19 Jan 2010 to 8 Dec 2019)
  • Thompson Financial Consulting Ltd (no longer approved here)

    FRN 231448

    • Employed By (17 Feb 2004 to 14 Dec 2009)

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