Sian Margaret MacInnes

Last updated
4 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Callabas Financial Services Ltd

    FRN 1007023

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Manager of certification employee (since 15 Jul 2024)
    • [FCA CF] Client dealing (since 15 Jul 2024)
    • [FCA CF] Functions requiring qualifications (since 15 Jul 2024)
    • Responsible for Insurance Distribution (since 12 Jul 2024)
    • SMF16 Compliance Oversight (since 12 Jul 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Jul 2024)
    • SMF3 Executive Director (since 12 Jul 2024)
  • Philip James Financial Services Ltd. (no longer approved here)

    FRN 531018

    • [FCA CF] Functions requiring qualifications (16 Sep 2021 to 12 Jul 2024)
    • [FCA CF] Client dealing (1 Mar 2020 to 12 Jul 2024)
    • Appointed representative dealing with clients for which they require qualification (1 Mar 2020 to 16 Sep 2021)
  • Laithwaite Financial Services Limited (no longer approved here)

    FRN 225044

    • CF30 Customer (12 May 2009 to 31 Aug 2011)

Recent activity

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

No changes recorded yet.