Roger Henry Penny

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.

  • A.Y.S Financial Services

    FRN 301617

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (18 Nov 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (18 Nov 2004 to 31 Mar 2009)
  • AYS Financial Services (no longer approved here)

    FRN 214469

    • Employed By (1 Dec 2001 to 27 Jul 2016)

Recent activity

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

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