Simon John Austin

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.

  • Westward Financial Management Limited

    FRN 430680

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 May 2022)
    • Responsible for Insurance Distribution (since 19 Mar 2021)
    • SMF16 Compliance Oversight (since 19 Mar 2021)
    • SMF3 Executive Director (since 19 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 23 Oct 2020)
    • [FCA CF] Client dealing (since 23 Oct 2020)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (10 Oct 2012 to 1 Sep 2015)
  • Charles Derby Wealth Management Limited (no longer approved here)

    FRN 535816

    • Employed By (10 Oct 2012 to 1 Sep 2015)
  • City Financial Planning (Exeter) Limited (no longer approved here)

    FRN 460195

    • CF30 Customer (2 Feb 2010 to 29 Jun 2012)
  • Broadstone (South West) Limited (no longer approved here)

    FRN 126735

    • Employed By (27 Dec 2007 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (27 Dec 2007 to 30 Nov 2009)

Recent activity

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

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