Wayne Adrian Austin

Last updated
2 weeks ago
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Where they hold approval

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

  • WAYNE AUSTIN IFA LIMITED

    FRN 450643

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 3 Nov 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 3 Nov 2025)
    • Responsibility for MCD Intermediation (4 May 2016 to 3 Nov 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Jul 2006 to 31 Mar 2009)
    • CF10 Compliance Oversight (3 Jul 2006 to 8 Dec 2019)
    • CF1 Director (3 Jul 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jul 2006 to 30 Sep 2018)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (3 Jul 2006 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (19 Jun 2003 to 15 Jul 2004)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (672)Employed By (19 Jun 2003 to 15 Jul 2004)

Recent activity

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

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