Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Census Wealth Management Limited
FRN 522337
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (21 Mar 2016 to 16 Nov 2023)
- Responsible for Insurance Mediation (29 Oct 2010 to 30 Sep 2018)
- CF30 Customer (25 Aug 2010 to 8 Dec 2019)
- CF1 Director (25 Aug 2010 to 8 Dec 2019)
- CF11 Money Laundering Reporting (25 Aug 2010 to 8 Dec 2019)
- CF10 Compliance Oversight (25 Aug 2010 to 8 Dec 2019)
-
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 20 Dec 2001)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.