Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Clarke and Partners LLP
FRN 468541
- 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
- Responsible for Insurance Distribution (since 13 Mar 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Mar 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsibility for MCD Intermediation (10 Oct 2016 to 5 Jul 2023)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (19 Jul 2007 to 8 Dec 2019)
- CF4 Partner (19 Jul 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (19 Jul 2007 to 31 Mar 2009)
- CF21 Investment Adviser (19 Jul 2007 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (19 Jul 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.