Norman Shairp Stevenson

Last updated
1 month ago
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Where they hold approval

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

  • CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

    FRN 231910

    • (15)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (16)9A. Advising on P2P agreements
    • (14)21. Advising or arranging (bringing about) equity release transactions
    • (17)7. Giving personal recommendations on long-term care insurance contracts
    • (18)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (19)4. Giving personal recommendations on retail investment products which are not broker funds
    • (22)SMF3 Executive Director (since 9 Dec 2019)
    • (20)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (21)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (23)[FCA CF] Client dealing (since 9 Dec 2019)
    • (24)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (40)CF11 Money Laundering Reporting (11 Dec 2007 to 8 Dec 2019)
    • (38)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (39)CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
    • (41)CF10 Compliance Oversight (1 Jul 2004 to 8 Dec 2019)
    • (42)CF1 Director (1 Jul 2004 to 8 Dec 2019)

Recent activity

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

  1. controlled function removed: SMF16 Compliance Oversight at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  2. controlled function added: (38)CF30 Customer at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  3. controlled function added: (39)CF21 Investment Adviser at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  4. controlled function added: (40)CF11 Money Laundering Reporting at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  5. controlled function added: (41)CF10 Compliance Oversight at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  6. controlled function added: (42)CF1 Director at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  7. controlled function added: (14)21. Advising or arranging (bringing about) equity release transactions at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  8. controlled function added: (15)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  9. controlled function added: (16)9A. Advising on P2P agreements at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

  10. controlled function added: (17)7. Giving personal recommendations on long-term care insurance contracts at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED

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