Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
David Nathan Associates
FRN 143191
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- [FCA CF] Client dealing (9 Dec 2019 to 19 Mar 2021)
- Responsible for Insurance Mediation (29 May 2013 to 30 Sep 2018)
- CF30 Customer (1 Nov 2007 to 6 Mar 2012)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
- CF4 Partner (1 Dec 2001 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.