Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Hedley & Company Stockbrokers Limited
FRN 471207
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 11 Aug 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Aug 2025)
- CF28 Systems and controls (22 Jan 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (6 Jan 2011 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (26 Oct 2007 to 31 Oct 2007)
- CF1 Director (26 Oct 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (26 Oct 2007 to 29 Jan 2010)
- CF21 Investment Adviser (26 Oct 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.