Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
FUTURES ASSURED LIMITED
FRN 441384
- 11. Pension transfer specialist
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [PRA CF] Key function holder (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Nov 2024)
- SMF3 Executive Director (9 Dec 2019 to 4 Nov 2024)
- SMF16 Compliance Oversight (9 Dec 2019 to 4 Nov 2024)
- Responsible for Insurance Distribution (1 Oct 2018 to 4 Nov 2024)
- Responsibility for MCD Intermediation (21 Mar 2016 to 4 Nov 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
- CF1 Director (3 Jan 2006 to 8 Dec 2019)
- CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
- CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
- CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
- CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.