Philip Arthur Sheppard

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Schaefer Financial Management Limited

    FRN 608960

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • 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 (15 Jan 2014 to 8 Dec 2019)
    • CF1 Director (15 Jan 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jan 2014 to 8 Dec 2019)
    • CF30 Customer (15 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (15 Jan 2014 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (21 Aug 2012 to 14 Jan 2014)
    • CF30 Customer (21 Aug 2012 to 14 Jan 2014)
  • Schaefer Financial Management Ltd (no longer approved here)

    FRN 184636

    • Employed By (1 Dec 2001 to 2 Jul 2012)

Recent activity

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

No changes recorded yet.