Robert John Mills

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.

  • STERLING ASSET MANAGEMENT LTD

    FRN 627725

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 20 Feb 2019)
    • Responsibility for MCD Intermediation (20 Feb 2019 to 30 Sep 2022)
    • CF11 Money Laundering Reporting (20 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Oct 2014 to 8 Dec 2019)
    • CF1 Director (13 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (13 Oct 2014 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF1 Director (AR) (19 Jul 2013 to 30 Sep 2014)
    • CF30 Customer (25 Oct 2010 to 30 Sep 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (15 Oct 2008 to 1 Sep 2010)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 12 Sep 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.