Michael Arthur Heatherley

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.

  • ANDREW BOURNE & CO INDEPENDENT FINANCIAL ADVISERS LIMITED

    FRN 529379

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Material risk taker (31 Mar 2021 to 18 Nov 2022)
    • CF11 Money Laundering Reporting (4 Feb 2011 to 8 Dec 2019)
    • CF1 Director (4 Feb 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Feb 2011 to 8 Dec 2019)
    • CF30 Customer (4 Feb 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Feb 2011 to 30 Sep 2018)
  • Andrew Bourne & Co (Insurance Consultants) Limited

    FRN 304755

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2020)
    • CF2 Non Executive Director (14 Jan 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)

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