Rajesh Kumar Passi

Last updated
3 weeks ago
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Where they hold approval

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

  • LEGAL & MEDICAL INVESTMENTS LIMITED

    FRN 185193

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (25 Jan 2022 to 13 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (6 Jan 2020 to 1 Nov 2020)
    • SMF3 Executive Director (9 Dec 2019 to 1 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Nov 2020)
    • Responsible for Insurance Mediation (12 Oct 2016 to 30 Sep 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Nov 2020)
    • CF1 Director (19 Feb 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (21 Jul 2004 to 31 Oct 2007)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF21 Investment Adviser (3 Sep 2003 to 9 Jul 2004)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF21 Investment Adviser (1 Dec 2001 to 12 Sep 2003)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF21 Investment Adviser (1 Dec 2001 to 12 Sep 2003)

Recent activity

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

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