Simon Mark Jones

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.

  • Jones Financial (Norwich) Limited

    FRN 660094

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 27 Oct 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Dec 2025)
    • SMF3 Executive Director (9 Dec 2019 to 15 Dec 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 15 Dec 2025)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 15 Dec 2025)
    • CF11 Money Laundering Reporting (1 Apr 2015 to 8 Dec 2019)
    • CF1 Director (1 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2015 to 30 Sep 2018)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (19 Apr 2010 to 28 Dec 2012)
  • Simon Mark Jones (no longer approved here)

    FRN 195225

    • (5)Employed By (15 Mar 2001 to 29 Dec 2009)

Recent activity

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

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