Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Westerby Investment Management Limited
FRN 125286
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 7 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (27 Mar 2020 to 3 Nov 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (27 Mar 2020 to 3 Nov 2025)
- CF1 Director (6 Aug 2012 to 8 Dec 2019)
- CF30 Customer (6 Aug 2012 to 8 Dec 2019)
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Westerby Trustee Services Limited
FRN 463533
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (27 Mar 2020 to 3 Nov 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (27 Mar 2020 to 3 Nov 2025)
- CF1 Director (30 Oct 2012 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.