Satish Matai

Last updated
2 weeks ago
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Where they hold approval

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

  • M & M Financial Services Ltd

    FRN 431048

    • 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 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 26 Aug 2016)
    • CF10 Compliance Oversight (1 May 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (9 Jun 2005 to 31 Mar 2009)
    • CF1 Director (9 Jun 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (9 Jun 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (9 Jun 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (9 Jun 2005 to 1 May 2010)
  • M & M General Insurance Services Limited

    FRN 452516

    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (4 Dec 2013 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (16 Jun 2006 to 31 Mar 2009)
    • CF1 Director (16 Jun 2006 to 8 Dec 2019)

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

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