Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Prism EBC Limited
FRN 630623
- (10)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- (11)4. Giving personal recommendations on retail investment products which are not broker funds
- (20)[FCA CF] Manager of certification employee (since 2 Mar 2021)
- (21)[FCA CF] Functions requiring qualifications (since 2 Mar 2021)
- (17)Appointed representative dealing with clients for which they require qualification (since 2 Mar 2021)
- (19)[FCA CF] Client dealing (since 2 Mar 2021)
- (12)Responsible for Insurance Distribution (since 5 May 2020)
- (13)SMF17 Money Laundering Reporting Officer (MLRO) (since 5 May 2020)
- (14)SMF16 Compliance Oversight (since 5 May 2020)
- (15)SMF3 Executive Director (since 9 Dec 2019)
- (18)CF1 Director (AR) (since 22 Jun 2016)
- (16)CF30 Customer (since 16 May 2016)
- (21)Responsibility for MCD Intermediation (5 May 2020 to 13 Feb 2025)
- (22)CF1 Director (17 Dec 2018 to 8 Dec 2019)
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- [FCA CF] Client dealing (16 Mar 2021 to 1 Apr 2026)
- [FCA CF] Functions requiring qualifications (16 Mar 2021 to 1 Apr 2026)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (16)CF30 Customer at Prism EBC Limited
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controlled function added: (17)Appointed representative dealing with clients for which they require qualification at Prism EBC Limited
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controlled function added: (18)CF1 Director (AR) at Prism EBC Limited
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controlled function added: (19)[FCA CF] Client dealing at Prism EBC Limited
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controlled function added: (20)[FCA CF] Manager of certification employee at Prism EBC Limited
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controlled function added: (21)[FCA CF] Functions requiring qualifications at Prism EBC Limited