Steven Barton

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.

  • Steven Barton

    FRN 484213

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 9A. Advising on P2P agreements
    • 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 17 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 17 Nov 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF4 Partner (16 Oct 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Oct 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Oct 2008 to 8 Dec 2019)
    • CF30 Customer (16 Oct 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (16 Oct 2008 to 5 Dec 2008)
    • Responsible for Insurance Mediation (16 Oct 2008 to 30 Sep 2018)
  • Steven Barton Financial Services (no longer approved here)

    FRN 136810

    • (5)Employed By (19 Mar 1999 to 16 Oct 2006)

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