Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Guardian Stockbrokers Ltd
FRN 492519
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- CF10 Compliance Oversight (30 Aug 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (30 Mar 2010 to 21 Apr 2017)
- CF3 Chief Executive (30 Mar 2010 to 8 Dec 2019)
- CF30 Customer (27 Apr 2009 to 8 Dec 2019)
- CF1 Director (27 Apr 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.