Simon Rounce

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.

  • Johnston Financial Limited

    FRN 131706

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 13 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 13 Oct 2021)
  • CARBON FINANCIAL PARTNERS LIMITED (no longer approved here)

    FRN 536900

    • [FCA CF] Client dealing (9 Dec 2019 to 12 Oct 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Oct 2021)
    • CF30 Customer (7 Sep 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.