Rhian Watson

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.

  • CALEB ROBERTS FINANCIAL MANAGEMENT LIMITED

    FRN 497107

    • 14. Managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 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)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (18 Oct 2018 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (11 Apr 2016 to 22 Oct 2019)
    • CF10 Compliance Oversight (6 Apr 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Apr 2009 to 30 Sep 2018)
    • CF30 Customer (6 Apr 2009 to 8 Dec 2019)
    • CF1 Director (6 Apr 2009 to 8 Dec 2019)

Recent activity

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

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