William Bruce Cornish Gow

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.

  • William Gow

    FRN 470448

    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • 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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Aug 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Aug 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Aug 2007 to 31 Oct 2007)
  • BGFP (Financial Planning) (no longer approved here)

    FRN 196127

    • Employed By (1 Dec 2001 to 14 Aug 2007)

Recent activity

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

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