Neil Loton

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.

  • Aequus Wealth Management Ltd

    FRN 807219

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • [FCA CF] Functions requiring qualifications (since 16 Apr 2020)
    • [FCA CF] Client dealing (since 16 Apr 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (13 Aug 2018 to 8 Dec 2019)
    • CF1 Director (13 Aug 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Aug 2018 to 8 Dec 2019)
    • CF30 Customer (13 Aug 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Aug 2018 to 30 Sep 2018)
  • Oculus Wealth Management Limited (no longer approved here)

    FRN 605985

    • CF1 Director (AR) (14 Jul 2015 to 29 Feb 2020)
    • CF30 Customer (6 Jul 2015 to 29 Feb 2020)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • CF30 Customer (13 May 2013 to 30 Jun 2015)

Recent activity

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

No changes recorded yet.