Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
A C Financial Ltd
FRN 413109
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 15 Jan 2013)
- CF21 Investment Adviser (14 Jul 2005 to 31 Oct 2007)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (7 Dec 2004 to 31 Mar 2009)
- CF22 Investment Adviser (Trainee) (7 Dec 2004 to 31 Oct 2007)
- CF11 Money Laundering Reporting (7 Dec 2004 to 8 Dec 2019)
- CF3 Chief Executive (7 Dec 2004 to 3 Dec 2019)
- CF10 Compliance Oversight (7 Dec 2004 to 8 Dec 2019)
- CF1 Director (7 Dec 2004 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.