William Anthony Douglas

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Where they hold approval

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

Oakworth Financial Planning Limited (no longer approved here)
FRN 229355
- SMF3 Executive Director (9 Dec 2019 to 16 Aug 2021)
- SMF1 Chief Executive (9 Dec 2019 to 16 Aug 2021)
- Responsibility for MCD Intermediation (13 Dec 2016 to 19 Jan 2017)
- CF11 Money Laundering Reporting (12 Dec 2012 to 19 Jan 2017)
- CF30 Customer (1 Nov 2007 to 27 Nov 2017)
- Responsible for Insurance Mediation (14 Jan 2005 to 19 Jan 2017)
- CF8 Apportionment and Oversight (7 Jan 2004 to 31 Mar 2009)
- CF3 Chief Executive (7 Jan 2004 to 8 Dec 2019)
- CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
- CF1 Director (7 Jan 2004 to 8 Dec 2019)
- CF10 Compliance Oversight (7 Jan 2004 to 30 Nov 2016)
Oakworth Consultancy Services Limited 1983 (no longer approved here)
FRN 173360
- (7)Employed By (1 Oct 1998 to 6 Jan 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.