Neil James Fallon

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.

  • Eppione Limited

    FRN 757722

    • 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)
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (3 Jan 2017 to 8 Dec 2019)
    • CF1 Director (3 Jan 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jan 2017 to 30 Sep 2018)
  • Coloma Wealth Management LLP (no longer approved here)

    FRN 563449

    • CF30 Customer (19 Nov 2015 to 24 Jan 2017)
  • IN2 Matrix (UK) Ltd (no longer approved here)

    FRN 530713

    • (7)Employed By (28 Oct 2010 to 25 Sep 2015)

Recent activity

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

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