Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Tailored Financial Advice Ltd
FRN 753915
- 21. Advising or arranging (bringing about) equity release transactions
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 7. Giving personal recommendations on long-term care insurance contracts
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
- [FCA CF] Client dealing (since 1 Jan 2021)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 1 Nov 2016)
- CF1 Director (1 Nov 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Nov 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Nov 2016 to 8 Dec 2019)
- CF30 Customer (1 Nov 2016 to 8 Dec 2019)
- Responsible for Insurance Mediation (1 Nov 2016 to 30 Sep 2018)
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- Responsibility for MCD Intermediation (21 Mar 2016 to 3 Nov 2016)
- CF1 Director (16 Feb 2010 to 18 Apr 2016)
- CF30 Customer (16 Feb 2010 to 3 Nov 2016)
- CF11 Money Laundering Reporting (16 Feb 2010 to 18 Apr 2016)
- CF10 Compliance Oversight (16 Feb 2010 to 18 Apr 2016)
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- Employed By (20 Nov 2000 to 15 Dec 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.