Steven Andrew Shirley

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.

  • Peter Shirley (Financial Services) Limited

    FRN 131528

    • 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] Functions requiring qualifications (since 15 Mar 2021)
    • [FCA CF] Client dealing (since 15 Mar 2021)
    • 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)
    • CF11 Money Laundering Reporting (6 Mar 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Mar 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Feb 2013 to 30 Sep 2018)
    • CF30 Customer (7 Jul 2009 to 8 Dec 2019)
    • CF1 Director (26 Feb 2007 to 8 Dec 2019)
  • Adcas Financial Management Ltd (no longer approved here)

    FRN 222123

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF21 Investment Adviser (17 Apr 2003 to 31 Oct 2007)
  • A Dunn & Co Financial Management (no longer approved here)

    FRN 165495

    • (4)Employed By (14 Jun 2002 to 22 Dec 2003)

Recent activity

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

No changes recorded yet.