Paul Brett-Smith

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.

  • PBS Financial Solutions Ltd

    FRN 624550

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (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 21 Mar 2016)
    • CF30 Customer (10 Oct 2014 to 8 Dec 2019)
    • CF1 Director (10 Oct 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Oct 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Oct 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Oct 2014 to 30 Sep 2018)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (16 Feb 2009 to 31 Dec 2012)
    • CF1 Director (AR) (1 Aug 2008 to 31 Dec 2012)
  • Kieron John Bassett (no longer approved here)

    FRN 144667

    • CF22 Investment Adviser (Trainee) (2 Sep 2004 to 17 Mar 2005)

Recent activity

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

No changes recorded yet.