Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Acorn to Oaks Financial Services Ltd
FRN 486131
- 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)
- 7. Giving personal recommendations on long-term care insurance contracts
- 21. Advising or arranging (bringing about) equity release transactions
- [FCA CF] Significant management (since 7 May 2021)
- [PRA CF] Key function holder (since 7 Dec 2020)
- [FCA CF] Client dealing (since 7 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF11 Money Laundering Reporting (4 Mar 2013 to 17 Jul 2017)
- CF10 Compliance Oversight (4 Mar 2013 to 17 Jul 2017)
- CF30 Customer (4 Mar 2013 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.