Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Flamingo Capital Limited
FRN 790252
- 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] Functions requiring qualifications (since 28 Sep 2020)
- [FCA CF] Client dealing (since 28 Sep 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 1 Mar 2018)
- CF11 Money Laundering Reporting (1 Mar 2018 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Mar 2018 to 8 Dec 2019)
- CF1 Director (1 Mar 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.