Matthew Mace

Last updated
1 week ago
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Where they hold approval

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

  • Clifton Financial Planning Limited

    FRN 922187

    • 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] Manager of certification employee (since 15 Sep 2020)
    • Responsible for Insurance Distribution (since 15 Sep 2020)
    • SMF16 Compliance Oversight (since 15 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Sep 2020)
    • SMF3 Executive Director (since 15 Sep 2020)
    • [FCA CF] Client dealing (since 15 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 15 Sep 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (22 May 2014 to 30 Apr 2016)
  • Lansdown Place Wealth Management Ltd (no longer approved here)

    FRN 434251

    • Employed By (22 May 2014 to 30 Apr 2016)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (11 Dec 2013 to 6 May 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (27 Nov 2008 to 10 Sep 2012)
    • CF22 Investment Adviser (Trainee) (21 Feb 2005 to 24 Oct 2006)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 7 Nov 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

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