Where they hold approval

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

    • 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)
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • Sole trader dealing with clients for which they require qualification (since 1 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (6 Jan 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Jan 2017 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • Insurance First Brokers Limited (no longer approved here)

    FRN 164785

    • (17)Employed By (24 Jun 2011 to 8 Dec 2019)
  • R E Hill Associates (1632) (no longer approved here)

    FRN 193356

    • (1)Employed By (25 May 2000 to 31 Dec 2015)

Recent activity

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

No changes recorded yet.