Timothy David House

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.

  • Golden Gate IFA Ltd

    FRN 401757

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 13 Jan 2021)
    • [FCA CF] Client dealing (since 13 Jan 2021)
    • 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)
    • [PRA CF] Significant risk taker or Material risk taker (13 Jan 2021 to 5 Jan 2022)
    • [FCA CF] Benchmark submission and administration (13 Jan 2021 to 5 Jan 2022)
    • [FCA CF] CASS oversight function (13 Jan 2021 to 5 Jan 2022)
    • [FCA CF] Manager of certification employee (13 Jan 2021 to 5 Jan 2022)
    • [FCA CF] Material risk taker (13 Jan 2021 to 5 Jan 2022)
    • [FCA CF] Proprietary trader (13 Jan 2021 to 5 Jan 2022)
    • [FCA CF] Significant management (13 Jan 2021 to 5 Jan 2022)
    • [PRA CF] Key function holder (13 Jan 2021 to 5 Jan 2022)
    • [PRA CF] Managing a material risk taker (13 Jan 2021 to 5 Jan 2022)
    • Responsibility for MCD Intermediation (23 Apr 2016 to 31 Jan 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (18 Aug 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (18 Aug 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (18 Aug 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (18 Aug 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Aug 2004 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF7 Sole Trader (AR) (1 Dec 2001 to 12 Nov 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 12 Nov 2004)
  • Golden Gate Independent Financial Advice (no longer approved here)

    FRN 200375

    • (2)Employed By (19 Dec 2000 to 12 Nov 2004)

Recent activity

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

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