Tracy Griffiths

Last updated
6 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • SWITCH FINANCIAL NETWORK LTD

    FRN 960278

    • SMF16 Compliance Oversight (since 12 Oct 2022)
    • Responsible for Insurance Distribution (since 12 Oct 2022)
    • Responsibility for MCD Intermediation (since 12 Oct 2022)
    • SMF3 Executive Director (since 12 Oct 2022)
  • PIVOTAL FINANCIAL LIMITED (no longer approved here)

    FRN 665649

    • SMF3 Executive Director (12 Oct 2022 to 7 Dec 2022)
    • Responsibility for MCD Intermediation (12 Oct 2022 to 7 Dec 2022)
    • Responsible for Insurance Distribution (12 Oct 2022 to 7 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (23 May 2021 to 20 May 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 May 2022)
    • CF10 Compliance Oversight (13 Jun 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.