Roger Edward Hindle

Last updated
2 weeks ago
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Where they hold approval

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

  • Roger Hindle Financial Services Limited

    FRN 628929

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 7 Dec 2016)
    • CF11 Money Laundering Reporting (3 Nov 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Nov 2014 to 30 Sep 2018)
    • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Nov 2014 to 8 Dec 2019)
    • CF1 Director (3 Nov 2014 to 8 Dec 2019)
  • Roger Hindle Financial Services Ltd (no longer approved here)

    FRN 209699

    • (2)Employed By (11 Feb 2002 to 31 Oct 2014)
  • Steven Barton Financial Services (no longer approved here)

    FRN 136810

    • (6)Employed By (26 Mar 2000 to 22 Feb 2002)

Recent activity

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

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