Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
XYZ ADVISORS LIMITED
FRN 1008954
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Client dealing (since 8 Jan 2026)
- [FCA CF] Manager of certification employee (since 7 Jan 2026)
- [FCA CF] Functions requiring qualifications (since 7 Jan 2026)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Nov 2025)
- SMF3 Executive Director (since 18 Nov 2025)
- Responsible for Insurance Distribution (since 18 Nov 2025)
- Responsibility for MCD Intermediation (since 18 Nov 2025)
- SMF16 Compliance Oversight (since 18 Nov 2025)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.