Paul Jamie Coffin

Last updated
1 week ago
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Where they hold approval

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

  • Capital Financial Markets Limited

    FRN 760840

    • 3. Giving personal recommendations on derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9. Advising on syndicate participation at Lloyd's
    • 10. Broker fund adviser
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • 17. Administrative functions in relation to managing investments
    • [PRA CF] Key function holder (since 1 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
    • [FCA CF] Manager of certification employee (since 1 Jan 2020)
    • [FCA CF] Significant management (since 1 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (12 Apr 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Apr 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (12 Apr 2017 to 8 Dec 2019)
  • GHC CAPITAL MARKETS LTD. (no longer approved here)

    FRN 152998

    • CF1 Director (AR) (25 Mar 2013 to 11 Apr 2017)
    • CF30 Customer (1 Mar 2013 to 11 Apr 2017)
  • Capital Financial Markets Limited (no longer approved here)

    FRN 597030

    • Employed By (20 Mar 2013 to 11 Apr 2017)

Recent activity

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

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