Paul George Willans

Last updated
3 weeks ago
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Where they hold approval

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

  • A J BUCKLEY ASSET MANAGEMENT LIMITED

    FRN 154371

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • 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)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 1 Aug 2022)
    • CF11 Money Laundering Reporting (30 Apr 2015 to 8 Dec 2019)
    • CF3 Chief Executive (9 Dec 2013 to 8 Dec 2019)
    • CF10a CASS Oversight function (11 Oct 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (28 Nov 2011 to 30 Sep 2018)
    • CF29 Significant management (19 Feb 2011 to 8 Dec 2019)
    • CF1 Director (19 Feb 2011 to 13 Dec 2012)
    • CF30 Customer (19 Feb 2011 to 8 Dec 2019)
  • Forvis Mazars Financial Planning Limited (no longer approved here)

    FRN 182644

    • Responsible for Insurance Mediation (7 Oct 2008 to 26 Feb 2010)
    • CF30 Customer (1 Nov 2007 to 8 Mar 2010)
    • CF1 Director (20 Dec 2004 to 8 Mar 2010)
    • CF21 Investment Adviser (20 Dec 2004 to 31 Oct 2007)
    • CF3 Chief Executive (20 Dec 2004 to 8 Mar 2010)
    • CF8 Apportionment and Oversight (20 Dec 2004 to 1 Nov 2007)

Recent activity

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

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