Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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OAKWOOD FINANCIAL SERVICES LTD
FRN 660574
- 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)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jan 2024)
- SMF16 Compliance Oversight (since 8 Jan 2024)
- SMF3 Executive Director (since 14 Jul 2023)
- [FCA CF] Manager of certification employee (since 2 Jun 2023)
- [FCA CF] Client dealing (since 2 Jun 2023)
- [FCA CF] Functions requiring qualifications (since 2 Jun 2023)
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- CF2 Non Executive Director (AR) (6 Aug 2019 to 6 Nov 2020)
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- CF2 Non Executive Director (30 Jul 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
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