Paul Anthony McFarlane

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.

  • HARVEST ASSOCIATES LIMITED

    FRN 629749

    • 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] Client dealing (since 10 Feb 2021)
    • [FCA CF] Functions requiring qualifications (since 10 Feb 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 16 Aug 2016)
    • CF11 Money Laundering Reporting (2 Jan 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2015 to 30 Sep 2018)
    • CF30 Customer (2 Jan 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2015 to 8 Dec 2019)
    • CF1 Director (2 Jan 2015 to 8 Dec 2019)
  • Harvest Associates Ltd (no longer approved here)

    FRN 228757

    • (45)Employed By (7 Nov 2003 to 31 Dec 2014)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2001)

Recent activity

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

No changes recorded yet.