Robert James Harris

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.

  • Fargrove Financial Solutions Limited

    FRN 469662

    • 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)
    • 17. Administrative functions in relation to 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
    • [FCA CF] Client dealing (since 17 Feb 2022)
    • [PRA CF] Key function holder (since 17 Feb 2022)
    • [FCA CF] Significant management (since 17 Feb 2022)
    • [FCA CF] Functions requiring qualifications (since 17 Feb 2022)
    • [FCA CF] CASS oversight function (since 17 Feb 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Aug 2007 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (7 Aug 2007 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (7 Aug 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Aug 2007 to 8 Dec 2019)
    • CF1 Director (7 Aug 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (7 Aug 2007 to 31 Oct 2007)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (6 Mar 2006 to 27 Jul 2007)
    • CF21 Investment Adviser (6 Mar 2006 to 27 Jul 2007)
  • Fargrove Ltd (no longer approved here)

    FRN 232388

    • Employed By (2 Apr 2004 to 27 Jul 2007)

Recent activity

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

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