Stephen Graham Oakley

Last updated
2 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • HEATHERTON FINANCIAL MANAGEMENT LIMITED

    FRN 482557

    • [FCA CF] Significant management (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (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)
    • CF30 Customer (11 Aug 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (11 Aug 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (11 Aug 2008 to 30 Sep 2018)
    • CF1 Director (11 Aug 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Aug 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Aug 2008 to 8 Dec 2019)
  • Cooper Parry Wealth Limited (no longer approved here)

    FRN 197193

    • CF21 Investment Adviser (1 Dec 2001 to 3 Apr 2003)

Recent activity

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

No changes recorded yet.