Simon John Baxendale

Last updated
2 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • True CFP Limited

    FRN 482278

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10 Compliance Oversight (14 Oct 2011 to 8 Dec 2019)
    • CF30 Customer (26 Mar 2010 to 8 Dec 2019)
    • CF29 Significant management (2 Nov 2009 to 30 Jan 2014)
    • CF1 Director (4 Dec 2008 to 22 Jul 2009)

Recent activity

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

No changes recorded yet.