Simon Keith Parry

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.

  • ASPECT FINANCIAL SOLUTIONS LTD

    FRN 502319

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (17 Aug 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jun 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (12 Dec 2016 to 8 Dec 2019)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2002)

Recent activity

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

No changes recorded yet.