Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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AW FINANCIAL MANAGEMENT LLP
FRN 532109
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (21 Oct 2016 to 20 Nov 2020)
- CF10 Compliance Oversight (1 Dec 2010 to 8 Dec 2019)
- CF30 Customer (1 Dec 2010 to 8 Dec 2019)
- CF4 Partner (1 Dec 2010 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Dec 2010 to 8 Dec 2019)
- Responsible for Insurance Mediation (1 Dec 2010 to 30 Sep 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.