Matthew Sean Allen

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.

  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • [FCA CF] Functions requiring qualifications (26 Oct 2020 to 31 Oct 2022)
  • MULBERRY INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 459871

    • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Dec 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 9 Dec 2019)
    • CF10 Compliance Oversight (21 Feb 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Feb 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (2 Jan 2007 to 31 Oct 2007)
    • CF1 Director (2 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
  • Mulberry Independent Financial Advisers (no longer approved here)

    FRN 192895

    • (6)Employed By (13 Sep 2000 to 27 Dec 2006)

Recent activity

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

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