Tamsin Ruth Caine

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.

  • Smart Financial Planning Ltd

    FRN 484300

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 1 Aug 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Aug 2020)
    • CF1 Director (13 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (1 Jan 2015 to 8 Dec 2019)
  • Kellands (Hale) Limited (no longer approved here)

    FRN 193498

    • CF30 Customer (30 Jun 2014 to 2 Jan 2015)
  • Brookfield Financial Planning Ltd (no longer approved here)

    FRN 225401

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (19 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Sep 2007 to 19 Oct 2007)

Recent activity

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

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