Thomas Mark Spain

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.

  • Henry Spain Investment Services Limited

    FRN 811723

    • 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)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 2 Jan 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Oct 2021)
    • CF10 Compliance Oversight (2 Jan 2019 to 8 Dec 2019)
    • CF1 Director (2 Jan 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2019 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2019 to 8 Dec 2019)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2020)
    • CF30 Customer (2 Feb 2010 to 8 Dec 2019)

Recent activity

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

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