Michael George Dawes

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.

  • Carter Dawes IFA Solutions Limited

    FRN 457006

    • Director of firm who is not a certification employee or a SMF manager (since 1 Jun 2024)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jun 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Oct 2022)
    • SMF3 Executive Director (9 Dec 2019 to 1 Jun 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Jun 2024)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Jul 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (31 Oct 2006 to 30 Sep 2018)
    • CF10 Compliance Oversight (31 Oct 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (31 Oct 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (31 Oct 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (31 Oct 2006 to 31 Mar 2009)
    • CF1 Director (31 Oct 2006 to 8 Dec 2019)
  • Carter Dawes IFA Solutions Ltd (no longer approved here)

    FRN 223812

    • Employed By (7 Apr 2003 to 31 Oct 2006)

Recent activity

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

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