Micheal Howard Griffiths

• MIKE GRIFFITHS LTD

  FRN 721539

  • 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
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • Responsibility for MCD Intermediation (since 20 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
  • [FCA CF] Client dealing (since 30 Nov 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (9 May 2016 to 8 Dec 2019)
  • CF1 Director (9 May 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 May 2016 to 8 Dec 2019)
  • CF30 Customer (9 May 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (9 May 2016 to 30 Sep 2018)
• Mistral Consultancy Limited (no longer approved here)

  FRN 224475

  • CF30 Customer (2 Feb 2012 to 8 Dec 2019)
• Personal Touch Financial Services Limited (no longer approved here)

  FRN 187834

  • CF30 Customer (1 Nov 2007 to 11 Jun 2009)
  • CF22 Investment Adviser (Trainee) (25 Nov 2004 to 31 Oct 2007)
• St Davids Independent Ltd (no longer approved here)

  FRN 415113

  • (10)Employed By (25 Nov 2004 to 11 Jun 2009)
• The Whitechurch Network Limited (no longer approved here)

  FRN 190859

  • CF21 Investment Adviser (19 Aug 2004 to 25 Feb 2005)
  • CF22 Investment Adviser (Trainee) (9 May 2003 to 19 Aug 2004)
• St Davids Independent Limited (no longer approved here)

  FRN 223548

  • (7)Employed By (9 May 2003 to 25 Feb 2005)

No changes recorded yet.