Sunil Karia

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • PERSPECTIVE (SOUTH EAST) LIMITED

    FRN 178690

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 5 Apr 2024)
    • [FCA CF] Client dealing (since 15 Jul 2022)
    • Appointed representative dealing with clients for which they require qualification (15 Jul 2022 to 24 Dec 2025)
    • CF30 Customer (13 Jun 2022 to 24 Dec 2025)
  • Skipton Building Society (no longer approved here)

    FRN 153706

    • [FCA CF] Client dealing (1 Oct 2019 to 30 Jun 2022)
    • [FCA CF] Functions requiring qualifications (28 Feb 2019 to 30 Jun 2022)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (29 Jan 2013 to 15 Jun 2015)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 4 Jun 2010)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (9 Dec 2002 to 5 Jun 2003)
    • CF22 Investment Adviser (Trainee) (24 Sep 2002 to 9 Dec 2002)

Recent activity

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

No changes recorded yet.