Philip Salmon Vaughan

Last updated
2 weeks ago
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Where they hold approval

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

  • ABACUS ASSURANCE FINANCIAL SERVICES LIMITED

    FRN 516109

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Client dealing (since 2 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Apr 2024)
    • CF10 Compliance Oversight (16 Aug 2010 to 8 Dec 2019)
    • CF1 Director (16 Aug 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Aug 2010 to 8 Dec 2019)
    • CF30 Customer (16 Aug 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Aug 2010 to 30 Sep 2018)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 13 Aug 2010)
    • CF1 Director (AR) (6 Apr 2006 to 13 Aug 2010)
    • CF21 Investment Adviser (29 Apr 2004 to 31 Oct 2007)
    • CF7 Sole Trader (AR) (29 Apr 2004 to 6 Apr 2006)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF22 Investment Adviser (Trainee) (26 Sep 2003 to 26 Sep 2003)
  • Abacus Assurance Financial Services Ltd (no longer approved here)

    FRN 190836

    • (1)Employed By (1 Dec 2001 to 13 Aug 2010)

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