Sarah Alice Moreton

Last updated
3 weeks ago
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Where they hold approval

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

  • THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY

    FRN 114724

    • 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)
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 29 Nov 2024)
    • [FCA CF] Functions requiring qualifications (16 Apr 2020 to 16 Jun 2020)
  • Coutts & Company

    FRN 122287

    • 11. Pension transfer specialist
    • 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)
    • [FCA CF] Functions requiring qualifications (since 29 Nov 2024)
    • [FCA CF] Functions requiring qualifications (7 May 2021 to 26 Jan 2024)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Manager of certification employee (13 Nov 2018 to 24 Sep 2019)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 31 Oct 2018)
    • CF30 Customer (25 Sep 2008 to 8 Jul 2011)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (12 Jul 2011 to 10 Aug 2013)

Recent activity

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

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