Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Pension Annuities Direct Limited
FRN 597100
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (1 Jul 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Jul 2013 to 8 Dec 2019)
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Basil James Financial Services
FRN 192597
- Employed By (since 16 Nov 1998)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.