Wayne Alfred Mann

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.

  • Your Finance Matters Limited

    FRN 707510

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)
    • [FCA CF] Client dealing (since 6 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (10 Nov 2015 to 8 Dec 2019)
    • CF1 Director (10 Nov 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Nov 2015 to 8 Dec 2019)
    • CF30 Customer (10 Nov 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Nov 2015 to 30 Sep 2018)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 9 Nov 2015)
    • CF1 Director (AR) (25 Nov 2003 to 9 Nov 2015)
    • CF7 Sole Trader (AR) (17 Feb 2003 to 25 Nov 2003)
    • CF21 Investment Adviser (27 May 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 May 2002)
  • Your Finance Matters Ltd (no longer approved here)

    FRN 222896

    • Employed By (17 Feb 2003 to 9 Nov 2015)
  • Freedman Ross Investment Management Limited (no longer approved here)

    FRN 181190

    • (3)Employed By (29 Aug 2001 to 17 Feb 2003)

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