Martin Robert Robertson

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.

  • Investax Limited

    FRN 197493

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 2 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (5 Sep 2018 to 30 Sep 2018)
    • CF10 Compliance Oversight (5 Sep 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Sep 2018 to 8 Dec 2019)
    • CF1 Director (11 Mar 2015 to 8 Dec 2019)
    • CF30 Customer (3 Mar 2014 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (4 Mar 2010 to 5 Aug 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 3 Mar 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2002)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Jan 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.