Peter Gordon John Docherty

• Suffolk Life Annuities Limited

  FRN 110468

  • SMF18 Other Overall Responsibility (since 20 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2024 to 29 Jul 2024)
  • SMF4 Chief Risk (1 Feb 2024 to 7 May 2025)
  • SMF16 Compliance Oversight (1 Feb 2024 to 7 May 2025)
  • SMF3 Executive Director (20 Jun 2023 to 16 Sep 2025)
  • SMF1 Chief Executive (2 Mar 2023 to 19 Feb 2024)
• The IPS Partnership Limited

  FRN 115135

  • SMF18 Other Overall Responsibility (since 20 May 2025)
  • [FCA CF] Manager of certification employee (20 May 2025 to 21 May 2025)
  • [FCA CF] Significant management (20 May 2025 to 21 May 2025)
  • SMF16 Compliance Oversight (1 Jan 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jan 2024 to 29 Jul 2024)
  • SMF4 Chief Risk (1 Jan 2024 to 7 May 2025)
• Suffolk Life Pensions Limited

  FRN 116298

  • [FCA CF] Manager of certification employee (since 20 May 2025)
  • [FCA CF] Significant management (since 20 May 2025)
  • SMF16 Compliance Oversight (1 Feb 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2024 to 29 Jul 2024)
  • SMF3 Executive Director (20 Jun 2023 to 31 Dec 2023)
  • SMF1 Chief Executive (2 Mar 2023 to 31 Dec 2023)
• James Hay WRAP Managers Limited

  FRN 225574

  • SMF18 Other Overall Responsibility (since 20 May 2025)
  • [FCA CF] Manager of certification employee (20 May 2025 to 21 May 2025)
  • [FCA CF] Significant management (20 May 2025 to 21 May 2025)
  • SMF16 Compliance Oversight (1 Jan 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jan 2024 to 29 Jul 2024)
  • SMF4 Chief Risk (1 Jan 2024 to 7 May 2025)
• NUCLEUS FINANCIAL SERVICES LIMITED

  FRN 456117

  • SMF18 Other Overall Responsibility (since 20 May 2025)
  • [FCA CF] Manager of certification employee (20 May 2025 to 21 May 2025)
  • [FCA CF] Significant management (20 May 2025 to 21 May 2025)
  • SMF16 Compliance Oversight (1 Jan 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jan 2024 to 29 Jul 2024)
  • SMF4 Chief Risk (1 Jan 2024 to 7 May 2025)
• JAMES HAY ADMINISTRATION COMPANY LIMITED

  FRN 460698

  • SMF18 Other Overall Responsibility (since 20 May 2025)
  • [FCA CF] Manager of certification employee (20 May 2025 to 21 May 2025)
  • [FCA CF] Significant management (20 May 2025 to 21 May 2025)
  • SMF4 Chief Risk (1 Jan 2024 to 7 May 2025)
  • SMF16 Compliance Oversight (1 Jan 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jan 2024 to 29 Jul 2024)
• IPS Pensions Limited

  FRN 461720

  • SMF18 Other Overall Responsibility (since 20 May 2025)
  • [FCA CF] Manager of certification employee (20 May 2025 to 21 May 2025)
  • [FCA CF] Significant management (20 May 2025 to 21 May 2025)
  • SMF16 Compliance Oversight (1 Jan 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jan 2024 to 29 Jul 2024)
  • SMF4 Chief Risk (1 Jan 2024 to 7 May 2025)
• Curtis Banks Limited

  FRN 492502

  • [FCA CF] Significant management (since 20 May 2025)
  • [FCA CF] Manager of certification employee (since 20 May 2025)
  • SMF16 Compliance Oversight (1 Feb 2024 to 7 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2024 to 29 Jul 2024)
  • SMF3 Executive Director (20 Jun 2023 to 31 Dec 2023)
  • SMF1 Chief Executive (2 Mar 2023 to 31 Dec 2023)
• TALBOT AND MUIR LIMITED

  FRN 776228

  • [FCA CF] Manager of certification employee (since 20 May 2025)
  • [FCA CF] Significant management (since 20 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2024 to 29 Jul 2024)
  • SMF16 Compliance Oversight (1 Feb 2024 to 7 May 2025)
  • SMF3 Executive Director (20 Jun 2023 to 31 Dec 2023)
  • SMF1 Chief Executive (2 Mar 2023 to 31 Dec 2023)
• Third Platform Services Limited (no longer approved here)

  FRN 717915

  • Director of firm who is not a certification employee or a SMF manager (1 Jul 2024 to 1 Oct 2025)

No changes recorded yet.