Roy Anthony Bailey

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Chancery Law (Southport) Limited

    FRN 613480

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
    • CF1 Director (1 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (2 Apr 2012 to 24 Feb 2014)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (27 Sep 2009 to 1 Apr 2012)
  • Ashley Law Limited (no longer approved here)

    FRN 498488

    • Employed By (27 Mar 2009 to 24 Feb 2014)

Recent activity

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

No changes recorded yet.