William James Ratcliffe

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.

  • PROFESSIONAL FINANCIAL PARTNERSHIPS LIMITED

    FRN 734532

    • 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
    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • 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)
    • CF28 Systems and controls (8 Jun 2016 to 8 Dec 2019)
    • CF1 Director (8 Jun 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Jun 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Jun 2016 to 8 Dec 2019)
    • CF29 Significant management (8 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (8 Jun 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Jun 2016 to 30 Sep 2018)
  • Professional Financial Partnerships Ltd (no longer approved here)

    FRN 192757

    • (3)Employed By (1 Sep 2000 to 7 Jun 2016)

Recent activity

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

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