Saranjit Singh Hothi

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.

  • Elementary Limited

    FRN 832767

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 19 Aug 2019)
    • CF11 Money Laundering Reporting (19 Aug 2019 to 8 Dec 2019)
    • CF1 Director (19 Aug 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Aug 2019 to 8 Dec 2019)
    • CF30 Customer (19 Aug 2019 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (11 Jun 2014 to 15 Aug 2019)
    • CF30 Customer (26 Mar 2013 to 15 Aug 2019)
  • Elementary Ltd (no longer approved here)

    FRN 231516

    • (2)Employed By (21 Jun 2004 to 15 Aug 2019)

Recent activity

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

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