Sonia Elizabeth Tatara-Mills

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.

  • Imperial House Ltd

    FRN 229886

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 15 Sep 2016)
    • CF11 Money Laundering Reporting (22 Jan 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (22 Jan 2009 to 31 Mar 2009)
    • Responsible for Insurance Mediation (22 Jan 2009 to 30 Sep 2018)
    • CF10 Compliance Oversight (22 Jan 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (16 Nov 2005 to 31 Oct 2007)
    • CF1 Director (29 Jul 2004 to 8 Dec 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF21 Investment Adviser (1 Jun 2005 to 7 Dec 2006)
    • CF1 Director (AR) (1 Jun 2005 to 7 Dec 2006)
  • Imperial House Financial Ltd (no longer approved here)

    FRN 212024

    • (2)Employed By (28 May 2002 to 7 Dec 2006)
  • Absolutely Independent Financial Advisers (1925) (no longer approved here)

    FRN 173365

    • Employed By (1 Oct 1998 to 5 Jul 2002)

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

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