Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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HLSFM LIMITED
FRN 409034
- 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)
- Responsible for Insurance Distribution (since 6 Feb 2021)
- SMF16 Compliance Oversight (since 6 Feb 2021)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsibility for MCD Intermediation (13 Dec 2022 to 12 Jun 2025)
- [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2021)
- CF11 Money Laundering Reporting (15 Oct 2018 to 8 Dec 2019)
- CF1 Director (15 Oct 2018 to 8 Dec 2019)
- CF30 Customer (1 Sep 2014 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.