Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FINLI (SCOTLAND) LIMITED
FRN 402458
- SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Sep 2025)
- SMF16 Compliance Oversight (since 17 Sep 2025)
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Finli (FLP) Ltd
FRN 586744
- Responsible for Insurance Distribution (since 10 Mar 2025)
- Responsibility for MCD Intermediation (since 5 Feb 2025)
- SMF16 Compliance Oversight (since 5 Feb 2025)
- SMF3 Executive Director (since 5 Feb 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Feb 2025)
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Finli (G&P) Ltd
FRN 142752
- SMF16 Compliance Oversight (since 10 May 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 10 May 2024)
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FINLI (FA92) LIMITED
FRN 195522
- SMF16 Compliance Oversight (since 10 May 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 10 May 2024)
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Gale and Phillipson Investment Services Ltd
FRN 431387
- SMF16 Compliance Oversight (since 10 May 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 10 May 2024)
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YOU Asset Management Limited
FRN 543459
- SMF3 Executive Director (since 26 May 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 26 May 2021)
- SMF16 Compliance Oversight (since 26 May 2021)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Mar 2022)
Recent activity
Updates to this individual's record on the FCA register.
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