Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SMB WEALTH MANAGEMENT LIMITED
FRN 478255
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF10 Compliance Oversight (5 Dec 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (5 Dec 2016 to 8 Dec 2019)
- CF3 Chief Executive (5 Dec 2016 to 8 Dec 2019)
- CF30 Customer (22 Feb 2008 to 8 Dec 2019)
- Responsible for Insurance Mediation (22 Feb 2008 to 30 Sep 2018)
- CF1 Director (22 Feb 2008 to 8 Dec 2019)
- CF8 Apportionment and Oversight (22 Feb 2008 to 31 Mar 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.