Niall Joseph Gunn

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Stephen McDine Limited

    FRN 550716

    • SMF3 Executive Director (since 28 Mar 2024)
    • Responsible for Insurance Distribution (since 28 Mar 2024)
    • SMF1 Chief Executive (since 28 Mar 2024)
    • SMF16 Compliance Oversight (since 28 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Mar 2024)
  • RMB FINANCIAL MANAGEMENT (UK) LIMITED

    FRN 488850

    • Responsible for Insurance Distribution (since 6 Dec 2023)
    • SMF3 Executive Director (since 6 Dec 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Dec 2023)
    • SMF16 Compliance Oversight (since 6 Dec 2023)
    • SMF1 Chief Executive (since 6 Dec 2023)
  • Bradstyle Limited

    FRN 402614

    • Responsibility for MCD Intermediation (since 8 Jun 2022)
    • Responsible for Insurance Distribution (since 8 Jun 2022)
    • SMF1 Chief Executive (since 8 Jun 2022)
    • SMF16 Compliance Oversight (since 8 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jun 2022)
    • SMF3 Executive Director (since 8 Jun 2022)
  • Prosperis Limited

    FRN 223586

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (16 May 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 May 2011 to 8 Dec 2019)
    • CF3 Chief Executive (18 Mar 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Jun 2006 to 30 Sep 2018)
    • CF1 Director (8 Jun 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (15 Jan 2004 to 31 Oct 2007)

Recent activity

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

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