Matthew Conroy Duncan

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.

  • INVEST SOUTHWEST LIMITED

    FRN 469547

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF16 Compliance Oversight (since 10 Aug 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 28 Oct 2022)
    • [FCA CF] Manager of certification employee (since 28 Oct 2022)
    • [FCA CF] Client dealing (since 28 Oct 2022)
    • Responsible for Insurance Distribution (since 29 Sep 2022)
    • SMF3 Executive Director (since 29 Sep 2022)
    • Responsibility for MCD Intermediation (since 29 Sep 2022)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Oct 2022)
    • CF1 Director (AR) (6 Sep 2019 to 5 Oct 2022)
    • CF30 Customer (6 Jan 2009 to 5 Oct 2022)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (20 Dec 2001 to 9 Apr 2003)

Recent activity

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

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