Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
ETHICAL INVESTORS (UK) LIMITED
FRN 165222
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 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)
- Responsible for Insurance Distribution (since 14 Dec 2020)
- SMF16 Compliance Oversight (since 14 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Dec 2020)
- SMF3 Executive Director (since 14 Dec 2020)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (16 May 2013 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.