William John Driver

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.

  • Fresh Perspective Financial Planning Ltd

    FRN 587569

    • 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
    • [FCA CF] Client dealing (since 25 Sep 2020)
    • [FCA CF] Significant management (since 25 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 25 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (25 Sep 2020 to 9 Sep 2021)
    • Responsible for Insurance Mediation (11 Sep 2014 to 30 Sep 2018)
    • CF10 Compliance Oversight (11 Sep 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (31 Oct 2012 to 8 Dec 2019)
    • CF30 Customer (31 Oct 2012 to 8 Dec 2019)
    • CF1 Director (31 Oct 2012 to 8 Dec 2019)
  • Paradigm Norton Financial Planning Ltd (no longer approved here)

    FRN 455083

    • CF30 Customer (29 Oct 2009 to 30 Sep 2012)

Recent activity

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

No changes recorded yet.