PAUL WHITMARSH

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.

  • Aquila Financial Management Limited

    FRN 161585

    • 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)
    • SMF3 Executive Director (since 8 Aug 2023)
    • Responsible for Insurance Distribution (since 3 Mar 2023)
    • SMF16 Compliance Oversight (since 27 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Sep 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Mark Lumb (no longer approved here)

    FRN 126617

    • (3)Employed By (23 Feb 2001 to 31 Oct 2007)

Recent activity

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

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