Michael Robert Arthur Bailey

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.

  • BAILEY FINANCIAL SERVICES ( PRESTON ) LIMITED

    FRN 478376

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF8 Apportionment and Oversight (7 Apr 2008 to 31 Mar 2009)
    • CF1 Director (7 Apr 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Apr 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Apr 2008 to 8 Dec 2019)
    • CF30 Customer (7 Apr 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Apr 2008 to 30 Sep 2018)
  • Bailey Financial Services (U328) (no longer approved here)

    FRN 171404

    • Employed By (1 Oct 1998 to 30 Dec 2005)
  • Haleys Financial Services Ltd (no longer approved here)

    FRN 192031

    • (4)Employed By (1 Oct 1998 to 7 Apr 2008)

Recent activity

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

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