Nicholas Robert Ling

Last updated
3 weeks ago
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Where they hold approval

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

  • Professional Independent Advisers Limited

    FRN 125921

    • 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] Client dealing (since 7 May 2024)
    • [FCA CF] Functions requiring qualifications (since 7 May 2024)
  • BEACH U.K. LIMITED (no longer approved here)

    FRN 143911

    • SMF16 Compliance Oversight (6 Mar 2020 to 14 May 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (6 Mar 2020 to 14 May 2024)
    • SMF3 Executive Director (6 Mar 2020 to 14 May 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 May 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 14 May 2024)
    • CF30 Customer (18 Nov 2015 to 8 Dec 2019)

Recent activity

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

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