Paul Dodd

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Paul Dodd Asset Management Limited

    FRN 610180

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (7 Mar 2014 to 8 Dec 2019)
    • CF1 Director (7 Mar 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Mar 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Mar 2014 to 8 Dec 2019)
  • Paul Dodd & Company (867) (no longer approved here)

    FRN 153569

    • (2)Employed By (1 Oct 1998 to 7 May 2014)

Recent activity

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

No changes recorded yet.