Paul Andrew Scott

Last updated
2 weeks ago
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Where they hold approval

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

  • Barbican Independent Financial Advisors Limited

    FRN 154950

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (1 Jun 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (24 May 2013 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (22 Mar 2013 to 8 Dec 2019)
    • CF1 Director (22 Mar 2013 to 8 Dec 2019)
    • CF30 Customer (19 May 2010 to 8 Dec 2019)
  • Redwood Insurance Brokers Limited (no longer approved here)

    FRN 306450

    • CF30 Customer (1 Nov 2007 to 27 Feb 2008)
    • CF21 Investment Adviser (22 Dec 2005 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (22 Dec 2005 to 31 Oct 2007)

Recent activity

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

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