Roddy David McFarlane

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • MCM Financial Limited

    FRN 706248

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Functions requiring qualifications (since 12 May 2020)
    • [FCA CF] Client dealing (since 12 May 2020)
    • 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 23 Mar 2016)
    • [FCA CF] Significant management (12 May 2020 to 13 May 2020)
    • CF10 Compliance Oversight (13 Aug 2015 to 8 Dec 2019)
    • CF1 Director (13 Aug 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Aug 2015 to 8 Dec 2019)
    • CF30 Customer (13 Aug 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Aug 2015 to 30 Sep 2018)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF1 Director (AR) (27 Jun 2007 to 1 Sep 2007)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (30 Mar 2007 to 2 Sep 2007)
    • CF22 Investment Adviser (Trainee) (6 Nov 2003 to 22 Apr 2004)
    • CF1 Director (AR) (6 Nov 2003 to 2 Sep 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (22 Apr 2004 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (6 Nov 2003 to 22 Apr 2004)
    • CF1 Director (AR) (6 Nov 2003 to 31 Oct 2004)
  • MCM Financial Management Ltd (no longer approved here)

    FRN 229118

    • Employed By (6 Nov 2003 to 3 Dec 2015)

Recent activity

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

No changes recorded yet.