Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Mar 2026)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • CF1 Director (2 Jan 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
  • Arcaria Financial Solutions Ltd (no longer approved here)

    FRN 582153

    • Employed By (14 Jun 2012 to 30 Dec 2013)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (17 Mar 2003 to 30 Nov 2004)
  • Finsure Limited (no longer approved here)

    FRN 195111

    • (3)Employed By (17 Mar 2003 to 30 Nov 2004)

Recent activity

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

No changes recorded yet.