Trevor Malcolm Fisher

• FISHER BROWN FINANCIAL SERVICES LIMITED

  FRN 672416

  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [PRA CF] Significant risk taker or Material risk taker (since 2 Mar 2021)
  • Appointed representative dealing with clients for which they require qualification (since 2 Mar 2021)
  • [FCA CF] Benchmark submission and administration (since 2 Mar 2021)
  • [FCA CF] CASS oversight function (since 2 Mar 2021)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
  • [FCA CF] Manager of certification employee (since 2 Mar 2021)
  • [FCA CF] Material risk taker (since 2 Mar 2021)
  • [FCA CF] Proprietary trader (since 2 Mar 2021)
  • [FCA CF] Significant management (since 2 Mar 2021)
  • [PRA CF] Key function holder (since 2 Mar 2021)
  • [PRA CF] Managing a material risk taker (since 2 Mar 2021)
  • Director of firm who is not a certification employee or a SMF manager (since 2 Mar 2021)
  • [FCA CF] Algorithmic trading (since 2 Mar 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)
  • Responsibility for MCD Intermediation (since 12 Dec 2016)
  • CF10 Compliance Oversight (1 Jul 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jul 2015 to 30 Sep 2018)
  • CF1 Director (1 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2015 to 8 Dec 2019)

No changes recorded yet.