Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Adaurum Limited
FRN 402746
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsible for Insurance Distribution (since 8 Oct 2025)
- [FCA CF] Functions requiring qualifications (since 3 Feb 2021)
- [FCA CF] Client dealing (since 3 Feb 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsibility for MCD Intermediation (7 Nov 2016 to 28 Oct 2025)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 26 Oct 2016)
- CF8 Apportionment and Oversight (4 Oct 2004 to 31 Mar 2009)
- CF11 Money Laundering Reporting (1 Oct 2004 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Oct 2004 to 8 Dec 2019)
- CF1 Director (1 Oct 2004 to 8 Dec 2019)
- CF21 Investment Adviser (1 Oct 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.