Scott Barry Pinching

Last updated
5 days ago
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Where they hold approval

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

  • SMITH & PINCHING FINANCIAL SERVICES LIMITED

    FRN 186616

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • SMF16 Compliance Oversight (1 Apr 2021 to 28 Mar 2023)
    • SMF3 Executive Director (9 Dec 2019 to 28 Mar 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Jun 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 28 Mar 2023)
    • CF10a CASS Oversight function (25 Feb 2013 to 8 Dec 2019)
    • CF1 Director (AR) (29 Apr 2009 to 23 Jan 2023)
    • CF8 Apportionment and Oversight (11 Sep 2008 to 31 Mar 2009)
    • CF28 Systems and controls (1 Nov 2007 to 12 Apr 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 12 Apr 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 12 Apr 2019)
  • i4me Limited (no longer approved here)

    FRN 971687

    • SMF3 Executive Director (1 Feb 2023 to 28 Mar 2023)

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