Stephen Philip Watson

Last updated
3 weeks ago
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Where they hold approval

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

  • Watson French Limited

    FRN 210094

    • 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
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [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)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (9 Dec 2003 to 8 Dec 2019)
    • CF13 Finance (9 Dec 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (9 Dec 2003 to 8 Dec 2019)
    • CF3 Chief Executive (25 Jun 2002 to 8 Dec 2019)
    • CF1 Director (25 Jun 2002 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Jun 2002 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (25 Jun 2002 to 31 Mar 2009)
  • Tom French & Associates Limited (no longer approved here)

    FRN 185513

    • CF21 Investment Adviser (1 Dec 2001 to 12 Nov 2002)
  • Watson French (no longer approved here)

    FRN 191449

    • (1)Employed By (27 Mar 2000 to 14 Nov 2002)

Recent activity

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

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