Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Peter Gay & Company
FRN 158879
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
- [FCA CF] Client dealing (since 1 Apr 2021)
- Sole trader dealing with clients for which they require qualification (since 1 Apr 2021)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Significant management (1 Apr 2021 to 18 Nov 2025)
- [FCA CF] Manager of certification employee (1 Apr 2021 to 18 Nov 2025)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (5 Oct 2004 to 8 Dec 2019)
- CF8 Apportionment and Oversight (5 Oct 2004 to 31 Mar 2009)
- CF7 Sole Trader (5 Oct 2004 to 31 Jan 2007)
- CF11 Money Laundering Reporting (5 Oct 2004 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.