Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Steve Wassell Insurance Management Ltd
FRN 231905
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 7. Giving personal recommendations on long-term care insurance contracts
- 9A. Advising on P2P agreements
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- 21. Advising or arranging (bringing about) equity release transactions
- 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] Functions requiring qualifications (since 28 Feb 2024)
- 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 21 Mar 2016)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF10 Compliance Oversight (11 May 2004 to 8 Dec 2019)
- CF1 Director (11 May 2004 to 8 Dec 2019)
- CF11 Money Laundering Reporting (11 May 2004 to 8 Dec 2019)
- CF21 Investment Adviser (11 May 2004 to 31 Oct 2007)
- CF8 Apportionment and Oversight (11 May 2004 to 1 Nov 2007)
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- (2)Employed By (1 Oct 1998 to 28 Aug 2004)
Recent activity
Updates to this individual's record on the FCA register.
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