Stephen John Fonquernie-Fisher

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.

  • New Oak Wealth Management Limited

    FRN 440850

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (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)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 27 Apr 2022)
    • Responsible for Insurance Mediation (6 Feb 2017 to 30 Sep 2018)
    • CF10 Compliance Oversight (6 Feb 2017 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 4 Dec 2017)
    • CF30 Customer (1 Nov 2007 to 26 Apr 2022)
    • CF1 Director (AR) (23 Oct 2007 to 26 Apr 2022)
    • CF11 Money Laundering Reporting (1 May 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (17 Jan 2006 to 31 Oct 2007)
    • CF1 Director (17 Jan 2006 to 8 Dec 2019)
  • Godfrey Pearson & Partners IFA (no longer approved here)

    FRN 173401

    • (26)Employed By (14 May 2001 to 30 Mar 2005)

Recent activity

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

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