Peter John Regan

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • REGAN FINANCIAL LIMITED

    FRN 506821

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF11 Money Laundering Reporting (9 Nov 2009 to 8 Dec 2019)
    • CF1 Director (9 Nov 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Nov 2009 to 8 Dec 2019)
    • CF30 Customer (9 Nov 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (9 Nov 2009 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 3 Feb 2010)
    • CF21 Investment Adviser (13 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (9 Aug 2006 to 13 Nov 2006)
  • AIB GROUP (UK) P.L.C. (no longer approved here)

    FRN 122088

    • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2002)

Recent activity

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

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