Vivienne Ruth Dolphin

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.

  • Dolphin Financial Limited

    FRN 778632

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 22 Nov 2020)
    • [FCA CF] Client dealing (since 22 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 14 Jul 2017)
    • CF10 Compliance Oversight (14 Jul 2017 to 8 Dec 2019)
    • CF1 Director (14 Jul 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jul 2017 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (14 Jul 2017 to 8 Dec 2019)
    • CF30 Customer (14 Jul 2017 to 8 Dec 2019)
  • OAKLEY INDEPENDENT LIMITED (no longer approved here)

    FRN 458146

    • CF30 Customer (30 Apr 2013 to 21 Apr 2017)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF21 Investment Adviser (7 Apr 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (24 Jan 2005 to 7 Apr 2006)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (22 Mar 2004 to 26 Oct 2004)
    • CF22 Investment Adviser (Trainee) (2 Dec 2001 to 23 Apr 2003)

Recent activity

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

No changes recorded yet.