Suzanne Allen

Last updated
1 week ago
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Where they hold approval

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

  • CHESTER ROSE FINANCIAL PLANNING LTD

    FRN 726620

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 19 Apr 2017)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 17 Feb 2022)
    • CF10 Compliance Oversight (1 Jul 2016 to 8 Dec 2019)
    • CF1 Director (1 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2016 to 30 Sep 2018)
    • CF30 Customer (1 Jul 2016 to 5 Nov 2021)
  • Chester Rose Planning Limited (no longer approved here)

    FRN 917041

    • Employed By (26 Nov 2019 to 5 Nov 2021)

Recent activity

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

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