Shaun Richard Dennis

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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 31 Mar 2022)
    • [FCA CF] Client dealing (since 31 Mar 2022)
  • Eaton Financial Services Ltd

    FRN 455121

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 1 Sep 2016)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 15 Apr 2025)
    • [FCA CF] Material risk taker (9 Dec 2019 to 15 Apr 2025)
    • [FCA CF] Proprietary trader (9 Dec 2019 to 15 Apr 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 15 Apr 2025)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 15 Apr 2025)
    • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 15 Apr 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Sep 2006 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (8 Sep 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Sep 2006 to 8 Dec 2019)
    • CF1 Director (8 Sep 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (8 Sep 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (8 Sep 2006 to 31 Mar 2009)
  • EAton Financial Services (no longer approved here)

    FRN 218762

    • (1)Employed By (23 Sep 2002 to 12 Dec 2006)
  • Hereward Insurance Services (1911) (no longer approved here)

    FRN 164075

    • (4)Employed By (5 Oct 2001 to 29 Sep 2003)

Recent activity

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

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