Steven John Day

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 Day

    FRN 464940

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (7 Jul 2014 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (17 Apr 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (17 Apr 2007 to 8 Dec 2019)
    • CF4 Partner (17 Apr 2007 to 5 Apr 2014)
    • CF8 Apportionment and Oversight (17 Apr 2007 to 31 Mar 2009)
  • A J Life (no longer approved here)

    FRN 192873

    • Employed By (1 Oct 1998 to 24 Apr 2007)

Recent activity

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

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