Michael Eaton

Last updated
6 days ago
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Where they hold approval

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

  • Michael Eaton

    FRN 459794

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Sole trader dealing with clients for which they require qualification (since 8 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 21 Jan 2013)
    • CF21 Investment Adviser (11 Jan 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (11 Jan 2007 to 8 Dec 2019)
  • Charterhouse Financial Limited (no longer approved here)

    FRN 940788

    • [FCA CF] Client dealing (1 Jul 2022 to 14 Sep 2022)
    • [FCA CF] Functions requiring qualifications (1 Jul 2022 to 14 Sep 2022)
    • Responsible for Insurance Distribution (8 Jul 2021 to 23 Sep 2022)
    • SMF3 Executive Director (8 Jul 2021 to 23 Sep 2022)
    • Responsibility for MCD Intermediation (8 Jul 2021 to 23 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (8 Jul 2021 to 23 Sep 2022)
    • SMF16 Compliance Oversight (8 Jul 2021 to 23 Sep 2022)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 18 Dec 2006)
  • Bennison, Yates & Partners (no longer approved here)

    FRN 401678

    • Employed By (1 Dec 2001 to 18 Dec 2006)

Recent activity

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

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