Paul Lawrence

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.

  • THE FINANCIAL PRACTICE (UK) LIMITED

    FRN 436500

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] CASS oversight function (since 13 Apr 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
    • CF1 Director (3 Oct 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2005 to 6 Sep 2011)
    • CF11 Money Laundering Reporting (3 Oct 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Oct 2005 to 31 Mar 2009)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF1 Director (AR) (1 Dec 2001 to 10 Nov 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 10 Nov 2005)
  • The Financial Practice (Bridgend) (no longer approved here)

    FRN 191897

    • Employed By (1 Oct 2001 to 10 Nov 2005)

Recent activity

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

No changes recorded yet.