Paul Stuart Ray

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • Significant Financial Limited

    FRN 952089

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 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)
    • Responsibility for MCD Intermediation (since 19 Nov 2021)
    • Responsible for Insurance Distribution (since 19 Nov 2021)
    • SMF16 Compliance Oversight (since 19 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Nov 2021)
    • SMF3 Executive Director (since 19 Nov 2021)
    • [FCA CF] Client dealing (since 19 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 19 Nov 2021)

Recent activity

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

No changes recorded yet.