Michael Thomas Daly

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • A.B.M. Consultancy

    FRN 938409

    • 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
    • SMF16 Compliance Oversight (since 12 Apr 2021)
    • Responsibility for MCD Intermediation (since 12 Apr 2021)
    • Responsible for Insurance Distribution (since 12 Apr 2021)
    • [FCA CF] Client dealing (since 12 Apr 2021)
    • Sole trader dealing with clients for which they require qualification (since 12 Apr 2021)
    • SMF27 Partner (since 12 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Apr 2021)
    • [FCA CF] Functions requiring qualifications (12 Apr 2021 to 13 Apr 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 May 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (9 Mar 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Dec 2005 to 9 Mar 2006)
  • Money Matters (NI) Ltd (no longer approved here)

    FRN 403452

    • (11)Employed By (20 Dec 2004 to 16 Dec 2005)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (28 Apr 2003 to 30 Nov 2004)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (1 Dec 2001 to 8 Apr 2002)

Recent activity

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

  1. controlled function added: (11)Employed By at Money Matters (NI) Ltd