Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Sanctuary Financial Ltd
FRN 807536
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- Responsible for Insurance Distribution (since 8 Dec 2020)
- [FCA CF] Client dealing (since 30 Nov 2020)
- [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
- SMF16 Compliance Oversight (since 3 Jan 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (6 Mar 2019 to 8 Dec 2019)
- CF30 Customer (13 Dec 2018 to 8 Dec 2019)
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- CF30 Customer (14 Aug 2009 to 31 Dec 2012)
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- CF30 Customer (1 Nov 2007 to 18 Aug 2009)
- CF21 Investment Adviser (21 Dec 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (11 Jul 2005 to 21 Dec 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.