Simon Dean Aucott

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.

  • HCL BANK HOUSE FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 400529

    • [FCA CF] Client dealing (29 Aug 2023 to 13 Aug 2025)
    • [FCA CF] Functions requiring qualifications (29 Aug 2023 to 13 Aug 2025)
  • Fox Whittle Financial Management Ltd (no longer approved here)

    FRN 500906

    • SMF3 Executive Director (9 Dec 2019 to 28 Nov 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Aug 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 Aug 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Nov 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 28 Nov 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 28 Nov 2023)
    • CF30 Customer (14 Jul 2009 to 8 Dec 2019)
    • CF1 Director (14 Jul 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Jul 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Jul 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jul 2009 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (6 Mar 2006 to 6 Jul 2006)
    • CF21 Investment Adviser (6 Mar 2006 to 6 Jul 2006)
  • Fox Whittle Financial Management Limited (no longer approved here)

    FRN 192215

    • Employed By (1 Dec 2001 to 10 Jul 2009)

Recent activity

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

No changes recorded yet.