Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
    • Responsible for Insurance Distribution (since 2 Nov 2020)
    • SMF16 Compliance Oversight (since 2 Nov 2020)
    • [FCA CF] Client dealing (since 2 Nov 2020)
    • SMF3 Executive Director (since 7 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Jan 2020)
  • Eton Square Financial Management Limited (no longer approved here)

    FRN 401373

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
    • CF30 Customer (12 Oct 2004 to 28 Jan 2013)
  • Greycoat Financial Services (U507) (no longer approved here)

    FRN 176476

    • (1)Employed By (8 May 2001 to 30 Dec 2005)

Recent activity

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

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