Regina Caulfield

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.

  • J Caulfield & Co Ltd

    FRN 300451

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (25 Jul 2016 to 8 Dec 2019)
    • CF1 Director (AR) (10 Dec 2013 to 13 Jun 2014)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
  • Caulfield Corporate Risks Limited (no longer approved here)

    FRN 610645

    • Employed By (10 Dec 2013 to 16 Jun 2014)
  • J Caulfield & Co (no longer approved here)

    FRN 206465

    • (2)Employed By (1 Dec 2001 to 30 Oct 2004)

Recent activity

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

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