MOHAMMED LAL

Last updated
1 week ago
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Where they hold approval

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

  • claim3000 ltd

    FRN 833604

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 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
    • Appointed representative dealing with clients for which they require qualification (since 1 Mar 2020)
    • Director of firm who is not a certification employee or a SMF manager (since 1 Mar 2020)
    • [FCA CF] Algorithmic trading (since 1 Mar 2020)
    • [FCA CF] Benchmark submission and administration (since 1 Mar 2020)
    • [FCA CF] CASS oversight function (since 1 Mar 2020)
    • [FCA CF] Client dealing (since 1 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2020)
    • [FCA CF] Manager of certification employee (since 1 Mar 2020)
    • [FCA CF] Material risk taker (since 1 Mar 2020)
    • [FCA CF] Proprietary trader (since 1 Mar 2020)
    • [FCA CF] Significant management (since 1 Mar 2020)
    • [PRA CF] Key function holder (since 1 Mar 2020)
    • [PRA CF] Managing a material risk taker (since 1 Mar 2020)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Mar 2020)

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

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