Philip Andrew Simmonds

Last updated
1 week ago
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Where they hold approval

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

  • Private Office Asset Management Limited

    FRN 650696

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Functions requiring qualifications (since 4 Dec 2020)
    • [FCA CF] Client dealing (since 4 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)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
    • CF1 Director (1 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2015 to 30 Sep 2018)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • CF30 Customer (5 Dec 2012 to 30 Apr 2014)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF30 Customer (12 May 2008 to 27 Mar 2014)

Recent activity

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

No changes recorded yet.