Sunil Shah

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.

  • Sunil Shah

    FRN 590083

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
    • [FCA CF] Client dealing (since 30 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Mar 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Mar 2013 to 30 Sep 2018)
  • Life Insurance Corporation of India (no longer approved here)

    FRN 110379

    • CF30 Customer (10 Jan 2008 to 7 Jul 2008)

Recent activity

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

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