Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Asset and Investment Management Limited
FRN 196680
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsible for Insurance Distribution (since 18 Jul 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Feb 2024)
- SMF16 Compliance Oversight (since 6 Feb 2024)
- [FCA CF] Functions requiring qualifications (since 22 Nov 2022)
- [FCA CF] Client dealing (since 22 Nov 2022)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF1 Director (8 Dec 2015 to 8 Dec 2019)
- CF30 Customer (4 Oct 2011 to 8 Dec 2019)
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- CF30 Customer (13 Jun 2011 to 30 Sep 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.