Patrick David John O'Connor

Last updated
3 weeks ago
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Where they hold approval

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

  • Independent Financial Advice Bureau

    FRN 207470

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (29 Sep 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (27 Mar 2002 to 31 Mar 2009)
    • CF7 Sole Trader (27 Mar 2002 to 31 Jan 2007)
    • CF21 Investment Adviser (27 Mar 2002 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (27 Mar 2002 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Mar 2002 to 8 Dec 2019)
  • Financial Advice Bureau (no longer approved here)

    FRN 193271

    • (4)Employed By (6 Mar 2002 to 3 Apr 2002)

Recent activity

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

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