Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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HCL BANK HOUSE FINANCIAL SERVICES LIMITED
FRN 400529
- 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
- Responsible for Insurance Distribution (since 6 May 2025)
- SMF16 Compliance Oversight (since 27 Mar 2024)
- [FCA CF] Manager of certification employee (since 1 Feb 2024)
- SMF3 Executive Director (since 15 Feb 2020)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (21 Nov 2018 to 8 Dec 2019)
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Fox Whittle Financial Management Ltd
FRN 500906
- Responsible for Insurance Distribution (since 18 Apr 2024)
- SMF16 Compliance Oversight (since 27 Mar 2024)
- [FCA CF] Manager of certification employee (since 1 Feb 2024)
- SMF3 Executive Director (since 8 Nov 2023)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.