Simon Caplin

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.

  • Fairstone Financial Management Limited

    FRN 475973

    • 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)
    • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
    • [FCA CF] Client dealing (since 10 Jul 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF22 Investment Adviser (Trainee) (2 Dec 2005 to 23 Jun 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 2 Dec 2005)

Recent activity

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

No changes recorded yet.