Shaun David Wood

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.

  • Simpson Wood (Financial Services) Limited

    FRN 224131

    • 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)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 11 Jul 2019)
    • CF3 Chief Executive (11 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jul 2019 to 8 Dec 2019)
    • CF1 Director (11 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (11 Mar 2015 to 8 Dec 2019)
  • The Wealth Management Group LLP (no longer approved here)

    FRN 467903

    • CF30 Customer (3 Aug 2010 to 5 Aug 2013)

Recent activity

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

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