Robert George Mansfield

Last updated
5 days ago
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Where they hold approval

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

  • ROOTES WEALTH MANAGEMENT LTD

    FRN 998007

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 22 Jan 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jan 2024)
    • SMF3 Executive Director (since 22 Jan 2024)
    • [FCA CF] Client dealing (since 22 Jan 2024)
    • Responsibility for MCD Intermediation (since 22 Jan 2024)
    • Responsible for Insurance Distribution (since 22 Jan 2024)
    • SMF16 Compliance Oversight (since 22 Jan 2024)
  • Cobens Group Limited (no longer approved here)

    FRN 484450

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Jan 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 12 Jan 2024)
    • CF30 Customer (23 Oct 2017 to 8 Dec 2019)

Recent activity

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

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