Walter Paul Sweetland

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.

  • Sweetland Associates Limited

    FRN 744333

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 27 Aug 2021)
    • CF10 Compliance Oversight (3 Jan 2017 to 8 Dec 2019)
    • CF1 Director (3 Jan 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2017 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jan 2017 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 28 Dec 2016)
    • CF1 Director (AR) (11 Jun 2003 to 28 Dec 2016)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 11 Jun 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Sweetland Associates Ltd (no longer approved here)

    FRN 200347

    • Employed By (26 Nov 1999 to 28 Dec 2016)

Recent activity

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

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