Nicholas Beatty

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.

  • Cedar Wealth Management Limited

    FRN 599639

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 13 Nov 2020)
    • [FCA CF] Client dealing (since 13 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (6 Sep 2013 to 8 Dec 2019)
    • CF1 Director (6 Sep 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Sep 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Sep 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Sep 2013 to 30 Sep 2018)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (1 Nov 2007 to 5 Sep 2013)
    • CF1 Director (AR) (30 Mar 2006 to 5 Sep 2013)
    • CF21 Investment Adviser (30 Mar 2006 to 31 Oct 2007)
  • Cedar Wealth Management Ltd (no longer approved here)

    FRN 449964

    • Employed By (30 Mar 2006 to 5 Sep 2013)

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

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