Mary Henderson

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.

  • Mary Henderson

    FRN 475683

    • 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 7 Dec 2020)
    • [FCA CF] Client dealing (since 7 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (18 Jun 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Jun 2013 to 8 Dec 2019)
    • CF30 Customer (25 Jan 2008 to 31 Dec 2012)
    • Responsible for Insurance Mediation (25 Jan 2008 to 31 Jan 2013)
  • RBK WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 207491

    • CF30 Customer (1 Nov 2007 to 30 Dec 2007)
    • CF21 Investment Adviser (15 Mar 2007 to 31 Oct 2007)

Recent activity

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

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