Ray Duggal

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.

  • NATIONWIDE INDEPENDENT CONSULTANTS LIMITED

    FRN 586271

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (29 Apr 2021 to 30 Apr 2021)
    • SMF3 Executive Director (9 Dec 2019 to 27 Oct 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 8 Oct 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 27 Oct 2020)
    • CF1 Director (1 Feb 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Feb 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Feb 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Feb 2013 to 8 Dec 2019)

Recent activity

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

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