Nigel Toplis

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Blue Spire Independent Financial Advice Limited

    FRN 599254

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 20 Dec 2019)
    • [FCA CF] Client dealing (since 20 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Aug 2013 to 8 Dec 2019)
    • CF1 Director (1 Aug 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Aug 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Aug 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Aug 2013 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (6 Mar 2006 to 11 Sep 2006)
    • CF21 Investment Adviser (6 Mar 2006 to 11 Sep 2006)
  • Blue Spire Associates Ltd (no longer approved here)

    FRN 400128

    • Employed By (20 Apr 2004 to 11 Sep 2006)

Recent activity

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

No changes recorded yet.