Shaun Christopher Hiscox

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.

  • Castra Financial limited

    FRN 845715

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 14 Apr 2020)
    • SMF16 Compliance Oversight (since 14 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Apr 2020)
    • SMF3 Executive Director (since 14 Apr 2020)
    • Responsibility for MCD Intermediation (since 14 Apr 2020)
    • Responsible for Insurance Distribution (since 14 Apr 2020)
  • PENGUIN WEALTH PLANNERS LIMITED (no longer approved here)

    FRN 830057

    • [FCA CF] Client dealing (1 Jun 2021 to 10 Dec 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (13 Jul 2016 to 16 Apr 2020)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (476)Employed By (13 Jul 2016 to 16 Apr 2020)

Recent activity

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

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