Michael Hardy

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.

  • Abacus Advice Ltd

    FRN 402725

    • 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
    • [FCA CF] Functions requiring qualifications (since 25 Apr 2021)
    • [FCA CF] Client dealing (since 25 Apr 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Sep 2016)
    • CF30 Customer (7 Jan 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Nov 2004 to 31 Mar 2009)
    • CF1 Director (1 Nov 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Nov 2004 to 28 Dec 2006)
    • CF3 Chief Executive (1 Nov 2004 to 8 Dec 2019)
  • The Independent Insurance Index (no longer approved here)

    FRN 184403

    • (12)Employed By (1 Dec 2001 to 31 Oct 2004)

Recent activity

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

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