Mark William Pendarves

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.

  • Chetwood Wealth Management Ltd

    FRN 195024

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 19 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (25 Mar 2024 to 26 Jan 2026)
    • SMF9 Chair of the Governing Body (25 May 2021 to 25 Mar 2024)
    • SMF3 Executive Director (9 Dec 2019 to 28 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 May 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Nov 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 28 May 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • DARNELLS WEALTH MANAGEMENT LIMITED

    FRN 474566

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 21 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (25 Mar 2024 to 26 Jan 2026)
    • SMF9 Chair of the Governing Body (25 May 2021 to 25 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 May 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Nov 2022)
    • SMF3 Executive Director (9 Dec 2019 to 28 May 2021)
    • CF10 Compliance Oversight (23 Jul 2019 to 8 Dec 2019)
    • CF1 Director (5 Feb 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (5 Feb 2019 to 28 May 2021)
    • CF11 Money Laundering Reporting (5 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (5 Feb 2019 to 8 Dec 2019)
  • Ermin Fosse Financial Management LLP (no longer approved here)

    FRN 197438

    • SMF17 Money Laundering Reporting Officer (MLRO) (16 Nov 2023 to 29 Jul 2024)
    • SMF27 Partner (11 Feb 2022 to 17 Feb 2026)

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

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