William Mark Shand

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Where they hold approval

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

Forester Life Limited
FRN 177898
- [FCA CF] Client dealing (since 6 Apr 2023)
- [FCA CF] Manager of certification employee (since 6 Apr 2023)
Key Retirement Solutions Limited (no longer approved here)
FRN 224987
- Appointed representative dealing with clients for which they require qualification (2 Nov 2020 to 17 Mar 2023)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Jan 2020)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF22 Investment Adviser (Trainee) (19 Jun 2003 to 1 Dec 2003)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (547)Employed By (19 Jun 2003 to 1 Dec 2003)

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.