Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SEVEN STARS ASSET MANAGEMENT LTD
FRN 627353
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (17 Nov 2014 to 30 Sep 2018)
- CF30 Customer (17 Nov 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (17 Nov 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (17 Nov 2014 to 8 Dec 2019)
- CF29 Significant management (17 Nov 2014 to 8 Dec 2019)
- CF1 Director (17 Nov 2014 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.