Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Maxis Investments Ltd
FRN 441316
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- [FCA CF] Significant management (since 2 Oct 2020)
- [FCA CF] Functions requiring qualifications (since 2 Oct 2020)
- [FCA CF] Manager of certification employee (since 2 Oct 2020)
- [FCA CF] Material risk taker (since 2 Oct 2020)
- [FCA CF] Client dealing (since 2 Oct 2020)
- CF3 Chief Executive (9 Apr 2018 to 7 Jun 2019)
- CF1 Director (9 Apr 2018 to 18 Jul 2019)
- CF30 Customer (1 Feb 2010 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
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