Peter Duffy

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.

  • PDIFS LLP

    FRN 793760

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (27 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Apr 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Apr 2018 to 8 Dec 2019)
    • CF4 Partner (27 Apr 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (27 Apr 2018 to 30 Sep 2018)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (18 Aug 2015 to 30 Apr 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF1 Director (AR) (1 Apr 2011 to 9 Apr 2013)
    • CF30 Customer (1 Apr 2011 to 9 Apr 2013)

Recent activity

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

No changes recorded yet.