Wendy Anne Cochran

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.

  • Dalbeath Financial Planning Ltd

    FRN 603653

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 3 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
    • [FCA CF] Significant management (since 3 Aug 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)
    • CF30 Customer (3 Sep 2013 to 8 Dec 2019)
    • CF1 Director (3 Sep 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Sep 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Sep 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Sep 2013 to 30 Sep 2018)
  • Wendy Cochran (no longer approved here)

    FRN 592883

    • Employed By (14 Dec 2012 to 25 Sep 2013)
  • Candour Financial Advisers Ltd (no longer approved here)

    FRN 442342

    • Employed By (2 May 2012 to 30 Nov 2012)

Recent activity

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

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