Simon John Cocking

Last updated
1 week ago
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Where they hold approval

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

  • Leodis Wealth Limited

    FRN 707896

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsibility for MCD Intermediation (since 16 Sep 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 6 Mar 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Nov 2023)
    • CF3 Chief Executive (2 Jan 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2019 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2015 to 8 Dec 2019)
    • CF1 Director (1 Dec 2015 to 8 Dec 2019)
  • MSM Independent Financial Services Limited (no longer approved here)

    FRN 207536

    • Responsibility for MCD Intermediation (22 Dec 2025 to 16 Apr 2026)
    • SMF1 Chief Executive (22 Dec 2025 to 16 Apr 2026)
    • SMF3 Executive Director (22 Dec 2025 to 16 Apr 2026)
    • SMF16 Compliance Oversight (22 Dec 2025 to 16 Apr 2026)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 May 2002)

Recent activity

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

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