Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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NEAL AND CO FINANCIAL SERVICES LIMITED
FRN 450659
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 14 Dec 2009)
- CF1 Director (1 Jun 2006 to 10 Feb 2014)
- Responsible for Insurance Mediation (1 Jun 2006 to 30 Sep 2018)
- CF8 Apportionment and Oversight (1 Jun 2006 to 31 Mar 2009)
- CF10 Compliance Oversight (1 Jun 2006 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Jun 2006 to 8 Dec 2019)
- CF21 Investment Adviser (1 Jun 2006 to 31 Oct 2007)
- CF3 Chief Executive (1 Jun 2006 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
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