Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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WDS Wealth Management Ltd
FRN 112543
- 11. Pension transfer specialist
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [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)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 7 Sep 2016)
- CF30 Customer (since 4 Jun 2012)
- CF1 Director (5 Dec 2013 to 8 Dec 2019)
- CF10 Compliance Oversight (5 Dec 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (5 Dec 2013 to 8 Dec 2019)
- CF1 Director (AR) (7 Mar 2013 to 13 May 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.