Michael Inniss Oliver

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.

  • Mike Oliver Associates

    FRN 646955

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10 Compliance Oversight (16 Feb 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Feb 2015 to 8 Dec 2019)
    • CF30 Customer (16 Feb 2015 to 8 Dec 2019)
  • Mike Oliver Associates (3156) (no longer approved here)

    FRN 206478

    • (5)Employed By (7 Dec 2009 to 13 Feb 2015)
  • A 2 Z Financial Management (2026) (no longer approved here)

    FRN 176561

    • (7)Employed By (1 Dec 2001 to 26 Mar 2003)

Recent activity

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

No changes recorded yet.