Robert Peter Clark

Last updated
1 week ago
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Where they hold approval

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

  • NEWSTEAD CLARK FINANCIAL SERVICES LIMITED

    FRN 707549

    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • 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 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 15 Aug 2016)
    • CF10 Compliance Oversight (18 Dec 2015 to 8 Dec 2019)
    • CF1 Director (18 Dec 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Dec 2015 to 8 Dec 2019)
    • CF30 Customer (18 Dec 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (18 Dec 2015 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (6 Mar 2006 to 5 Apr 2006)
    • CF21 Investment Adviser (6 Mar 2006 to 5 Apr 2006)
  • Newstead Clark Financial Services Limited (no longer approved here)

    FRN 221158

    • Employed By (13 Dec 2002 to 18 Dec 2015)

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