Simon Booth

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.

  • Cassons Financial Planning Limited

    FRN 605630

    • SMF3 Executive Director (since 28 Feb 2024)
    • Responsible for Insurance Distribution (since 28 Feb 2024)
    • SMF16 Compliance Oversight (since 28 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Feb 2024)
  • FORESIGHT INDEPENDENT FINANCIAL PLANNING LIMITED

    FRN 612587

    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (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 (8 Apr 2014 to 8 Dec 2019)
    • CF1 Director (8 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Apr 2014 to 8 Dec 2019)
    • CF30 Customer (8 Apr 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Apr 2014 to 30 Sep 2018)
  • Foresight Independent Financial Planning Ltd (no longer approved here)

    FRN 187481

    • (2)Employed By (1 Dec 2001 to 7 Apr 2014)

Recent activity

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

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