Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Investax Limited
FRN 197493
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 2 Oct 2020)
- [FCA CF] Client dealing (since 2 Oct 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (1 Oct 2018 to 17 Jan 2019)
- CF1 Director (AR) (3 Mar 2008 to 10 May 2008)
- CF28 Systems and controls (1 Nov 2007 to 23 Jul 2013)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (17 Feb 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
- CF11 Money Laundering Reporting (1 Dec 2001 to 12 Sep 2018)
- CF13 Finance (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF10 Compliance Oversight (1 Dec 2001 to 12 Sep 2018)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.