Simon Paul Fry

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.

  • PROSPER FINANCIAL SOLUTIONS LIMITED

    FRN 587653

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 26 Mar 2026)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Oct 2024)
    • [PRA CF] Key function holder (9 Dec 2019 to 26 Mar 2026)
    • SMF3 Executive Director (9 Dec 2019 to 11 Mar 2026)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 2 Oct 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 26 Mar 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 29 Jul 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Jul 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 29 Jul 2024)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 29 Jul 2024)
    • Responsible for Insurance Mediation (2 Apr 2015 to 30 Sep 2018)
    • CF1 Director (2 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Apr 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (2 Jul 2013 to 8 Dec 2019)
  • Prosper Independent Financial Adviser (no longer approved here)

    FRN 185764

    • (2)Employed By (4 Aug 2000 to 31 Dec 2013)

Recent activity

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

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