Ninian Heron

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • INDEPENDENT ONE 2 ONE LTD

    FRN 589566

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (2 Jan 2013 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2013 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (2 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2013 to 8 Dec 2019)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (12 Mar 2010 to 30 Nov 2012)
    • CF1 Director (AR) (12 Mar 2010 to 31 Dec 2012)
  • Park Row Associates (k508) (no longer approved here)

    FRN 190108

    • (246)Employed By (6 Jun 2001 to 14 Apr 2003)

Recent activity

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

No changes recorded yet.