Shaun Patrick McLaughlin

• SMCL3 Limited

  FRN 773901

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 8 Dec 2020)
  • [FCA CF] Client dealing (since 8 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (3 May 2017 to 8 Dec 2019)
  • CF1 Director (3 May 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 May 2017 to 8 Dec 2019)
  • CF30 Customer (3 May 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 May 2017 to 30 Sep 2018)
• ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

  FRN 144519

  • CF30 Customer (1 Nov 2007 to 31 Oct 2009)
  • CF1 Director (1 Dec 2001 to 1 Jan 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jan 2004)

No changes recorded yet.