Simon Charles Carter

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.

  • Simon Carter

    FRN 470952

    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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)
    • CF21 Investment Adviser
    • CF30 Customer (21 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (21 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (21 Nov 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (21 Nov 2007 to 30 Sep 2018)
  • Inter County Insurance Services (no longer approved here)

    FRN 184404

    • (11)Employed By (1 Oct 1998 to 13 Sep 2007)

Recent activity

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

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