Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MacIntosh James and Partners Limited
FRN 402757
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (4 Mar 2005 to 8 Dec 2019)
- CF11 Money Laundering Reporting (4 Mar 2005 to 8 Dec 2019)
- CF21 Investment Adviser (4 Mar 2005 to 31 Oct 2007)
- CF1 Director (25 Feb 2005 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.