Scott James Oliver

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.

  • FINANCE SHOP LIMITED

    FRN 551177

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Feb 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Feb 2022)
    • SMF3 Executive Director (9 Dec 2019 to 13 May 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 23 Mar 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 23 Mar 2022)
    • CF10 Compliance Oversight (20 Oct 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Oct 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Oct 2015 to 30 Sep 2018)
    • CF1 Director (3 Oct 2011 to 8 Dec 2019)
    • CF30 Customer (3 Oct 2011 to 8 Dec 2019)
  • FS WEALTH MANAGEMENT LTD

    FRN 727510

    • 14. Managing investments
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Mar 2023)
    • CF11 Money Laundering Reporting (5 Sep 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Sep 2017 to 8 Dec 2019)
    • CF1 Director (15 Sep 2016 to 8 Dec 2019)
    • CF30 Customer (15 Sep 2016 to 8 Dec 2019)
  • The Finance Shop (1750) (no longer approved here)

    FRN 191988

    • Employed By (31 Dec 2002 to 14 Jan 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)

Recent activity

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

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