Matthew Richard Frain

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.

  • Legal & General Financial Advice Ltd (no longer approved here)

    FRN 839860

    • SMF3 Executive Director (14 Oct 2021 to 28 Feb 2023)
    • [FCA CF] Significant management (10 May 2021 to 14 Oct 2021)
    • [FCA CF] Manager of certification employee (10 May 2021 to 14 Oct 2021)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Manager of certification employee (11 Jan 2021 to 7 Apr 2021)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • [FCA CF] Manager of certification employee (25 Feb 2020 to 3 Nov 2020)
    • [FCA CF] Functions requiring qualifications (25 Feb 2020 to 3 Nov 2020)
    • [FCA CF] Client dealing (25 Feb 2020 to 3 Nov 2020)
    • CF30 Customer (20 May 2011 to 1 Jan 2013)
  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • [FCA CF] Functions requiring qualifications (12 Nov 2019 to 3 Nov 2020)
    • [FCA CF] Client dealing (12 Nov 2019 to 3 Nov 2020)
    • [FCA CF] Manager of certification employee (12 Nov 2019 to 3 Nov 2020)
    • CF30 Customer (7 Jan 2016 to 9 Dec 2018)

Recent activity

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

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