Samuel Edward Sneyd

Last updated
1 week ago
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Where they hold approval

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

  • Bentley Independent Financial Advisers

    FRN 146733

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (6 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
  • BENTLEY INDEPENDENT FINANCIAL ADVISERS LTD

    FRN 800509

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Aug 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Aug 2018 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Aug 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Aug 2018 to 8 Dec 2019)
    • CF1 Director (1 Aug 2018 to 8 Dec 2019)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • CF30 Customer (22 Jun 2009 to 3 Nov 2010)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (22 Jun 2009 to 3 Nov 2010)

Recent activity

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

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