Simon Wroe

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.

  • S W FINANCIAL MANAGEMENT LTD

    FRN 549836

    • 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)
    • [FCA CF] Client dealing (since 24 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (11 Oct 2011 to 30 Sep 2018)
    • CF30 Customer (11 Oct 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Oct 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Oct 2011 to 8 Dec 2019)
    • CF1 Director (11 Oct 2011 to 8 Dec 2019)
  • Whitehill Financial Management Limited (no longer approved here)

    FRN 463538

    • CF30 Customer (27 Jun 2017 to 6 Nov 2019)

Recent activity

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

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