Simon Nicholas West

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.

  • Hulbert West Limited

    FRN 452930

    • 11. Pension transfer specialist
    • 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)
    • CF1 Director (AR) (since 9 Jun 2022)
    • CF30 Customer (since 9 Jun 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Jan 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Jan 2025)
    • CF10 Compliance Oversight (27 Oct 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (27 Oct 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (27 Oct 2008 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (27 Oct 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (15 Jan 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (25 Oct 2006 to 31 Oct 2007)
    • CF1 Director (25 Oct 2006 to 8 Dec 2019)
  • HW Advisory Services Limited

    FRN 935298

    • (2)Employed By (since 9 Jun 2022)

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