Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Niche Independent Financial Advisers Limited
FRN 472635
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (11 Oct 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (11 Oct 2016 to 8 Dec 2019)
- CF30 Customer (1 May 2014 to 9 May 2018)
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Niche Private Clients Ltd
FRN 748261
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Sep 2016 to 27 Jun 2018)
- CF11 Money Laundering Reporting (1 Sep 2016 to 8 Dec 2019)
- Responsible for Insurance Mediation (1 Sep 2016 to 30 Sep 2018)
- CF10 Compliance Oversight (1 Sep 2016 to 8 Dec 2019)
- CF1 Director (1 Sep 2016 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.