Michael David Caplan

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • FIRST FINANCIAL INTERMEDIARIES LIMITED (no longer approved here)

    FRN 301328

    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Jun 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 15 Apr 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 4 Sep 2020)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • CF4 Partner (AR) (5 Jul 2012 to 10 Dec 2018)
  • First Wealth LLP (no longer approved here)

    FRN 506489

    • Employed By (11 Sep 2009 to 10 Dec 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 11 Sep 2012)
    • CF4 Partner (AR) (1 Dec 2001 to 11 Sep 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • First Financial Consultants (no longer approved here)

    FRN 184024

    • Employed By (1 Dec 2001 to 11 Sep 2012)

Recent activity

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

No changes recorded yet.