Nigel Foster

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.

  • DHM Wynchwood LLP

    FRN 569713

    • 9A. Advising on P2P agreements
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (AR) (since 28 May 2012)
    • CF30 Customer (since 2 Apr 2012)
    • CF4 Partner (2 Apr 2012 to 8 Dec 2019)
    • CF28 Systems and controls (2 Apr 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Apr 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Apr 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Apr 2012 to 30 Sep 2018)
  • Wynchwood Investments Ltd

    FRN 514678

    • Employed By (since 18 Aug 2014)
  • Wynchwood Asset Management Ltd

    FRN 581133

    • Employed By (since 16 May 2012)
  • Wynchwood Ltd

    FRN 581243

    • Employed By (since 16 May 2012)

Recent activity

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