Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Carey and Johnston
FRN 126015
- 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 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 10 Oct 2016)
- Responsible for Insurance Mediation (19 Aug 2010 to 21 Sep 2016)
- CF10 Compliance Oversight (19 Aug 2010 to 8 Dec 2019)
- CF11 Money Laundering Reporting (19 Aug 2010 to 8 Dec 2019)
- CF4 Partner (19 Aug 2010 to 8 Dec 2019)
- CF30 Customer (7 Jan 2010 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.