Matthew Hall

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.

  • Hall Financial Planning LLP

    FRN 618207

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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)
    • CF30 Customer (22 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jul 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jul 2014 to 8 Dec 2019)
    • CF4 Partner (22 Jul 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (22 Jul 2014 to 30 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (13 Feb 2013 to 13 May 2013)
    • CF4 Partner (AR) (13 Feb 2013 to 13 May 2013)

Recent activity

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

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