Philip Evans

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.

  • Philip Evans & Associates

    FRN 138916

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (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 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF7 Sole Trader (18 Jun 2003 to 31 Jan 2007)
    • CF8 Apportionment and Oversight (18 Jun 2003 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (18 Jun 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Jun 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 26 Mar 2003)
  • Prime Wealth Solutions Ltd (no longer approved here)

    FRN 767879

    • CF1 Director (3 Oct 2017 to 2 Nov 2017)

Recent activity

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

No changes recorded yet.