Simon Cole Phillipson

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.

  • STRATEGIC FINANCIAL PLANNING (SFP) LIMITED

    FRN 470092

    • 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 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (22 Oct 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (22 Oct 2007 to 30 Sep 2018)
    • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (22 Oct 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Oct 2007 to 8 Dec 2019)
    • CF1 Director (22 Oct 2007 to 8 Dec 2019)
  • PROFESSIONAL FINANCIAL PLANNING SERVICES (PFPS) LTD (no longer approved here)

    FRN 216642

    • CF30 Customer (1 Nov 2007 to 9 Nov 2007)
    • CF1 Director (7 Oct 2002 to 9 Nov 2007)
    • CF10 Compliance Oversight (7 Oct 2002 to 9 Nov 2007)
    • CF8 Apportionment and Oversight (7 Oct 2002 to 9 Nov 2007)
    • CF21 Investment Adviser (7 Oct 2002 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (7 Oct 2002 to 9 Nov 2007)

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