Peter Timothy Mundy

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • MATRIX INDEPENDENT LTD

    FRN 474060

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (2 Jan 2008 to 8 Dec 2019)
    • CF1 Director (2 Jan 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2008 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Jan 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (2 Jan 2008 to 30 Sep 2018)
  • LOGIC WEALTH PLANNING LTD (no longer approved here)

    FRN 435878

    • CF30 Customer (1 Nov 2007 to 29 Nov 2007)
    • CF21 Investment Adviser (24 Oct 2006 to 31 Oct 2007)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (4 Aug 2003 to 16 Sep 2005)
    • CF22 Investment Adviser (Trainee) (25 Mar 2003 to 4 Aug 2003)
  • BACKHOUSE INDEPENDENT FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 126319

    • CF22 Investment Adviser (Trainee) (21 Sep 2002 to 19 Feb 2003)

Recent activity

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

No changes recorded yet.