Simon Jonathan Browning

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.

  • UHY Financial Planning Limited (no longer approved here)

    FRN 447764

    • SMF16 Compliance Oversight (9 Dec 2019 to 25 Feb 2020)
    • [FCA CF] Significant management (9 Dec 2019 to 25 Feb 2020)
    • SMF3 Executive Director (9 Dec 2019 to 25 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Feb 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 25 Feb 2020)
    • Responsible for Insurance Mediation (26 Nov 2015 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (5 Oct 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Oct 2015 to 8 Dec 2019)
    • CF1 Director (22 Aug 2014 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.