Shaun Lax

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.

  • Independent Financial Consultants Limited

    FRN 468116

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
    • [FCA CF] Client dealing (since 16 Nov 2020)
    • CF30 Customer (4 Jan 2018 to 8 Dec 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2005)

Recent activity

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

No changes recorded yet.