Peter James Collier

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.

  • P J Collier Financial Services Limited

    FRN 229821

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 15 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 15 Nov 2020)
    • SMF3 Executive Director (9 Dec 2019 to 16 Jun 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Jun 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 16 Jun 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 16 Jun 2025)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 16 Jun 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (18 Feb 2004 to 31 Mar 2009)
    • CF1 Director (18 Feb 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Feb 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Feb 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (18 Feb 2004 to 31 Oct 2007)
  • P.J. Collier Financial Services (2282) (no longer approved here)

    FRN 181003

    • (3)Employed By (1 Oct 1998 to 25 May 2004)

Recent activity

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

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