Shaun Moore

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.

  • IM ASSET MANAGEMENT LIMITED

    FRN 402770

    • 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 31 Oct 2022)
    • [FCA CF] Client dealing (since 31 Oct 2022)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Functions requiring qualifications (14 Jun 2017 to 30 Apr 2022)
    • CF30 Customer (28 May 2010 to 18 Jun 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2002)

Recent activity

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

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