Matthew Lee

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Westside Independent Financial Services LLP

    FRN 920851

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Jan 2021)
    • [FCA CF] Client dealing (since 7 Jan 2021)
    • Responsibility for MCD Intermediation (since 6 Jan 2021)
    • SMF16 Compliance Oversight (since 6 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Jan 2021)
    • SMF27 Partner (since 6 Jan 2021)
    • Responsible for Insurance Distribution (since 6 Jan 2021)
  • PHOENIX FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 231135

    • CF30 Customer (22 Jan 2014 to 3 Jan 2021)
    • CF4 Partner (AR) (6 Dec 2013 to 27 Apr 2021)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (6 Jul 2010 to 17 Dec 2013)
    • CF4 Partner (AR) (6 Jul 2010 to 17 Dec 2013)
  • Westside Independent Financial Services LLP (no longer approved here)

    FRN 526995

    • Employed By (6 Jul 2010 to 27 Apr 2021)

Recent activity

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

No changes recorded yet.