Michael Fox

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.

  • Michael Fox

    FRN 564504

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2012 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
  • Aspros Financial Services (3283) (no longer approved here)

    FRN 216755

    • (2)Employed By (23 Jul 2002 to 5 Nov 2002)

Recent activity

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

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