Simon David Lister

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.

  • ML Financial Associates Limited

    FRN 537809

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (28 Mar 2012 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2011 to 8 Dec 2019)
  • Insight Financial Associates Limited (no longer approved here)

    FRN 458421

    • CF1 Director (6 Feb 2008 to 30 Jun 2011)
    • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (2 Jan 2007 to 31 Oct 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Jul 2002)

Recent activity

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

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