William Sallis

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.

  • GHC CAPITAL MARKETS LTD.

    FRN 152998

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (11 Jun 2019 to 8 Dec 2019)
  • GHC Wealth Management Limited

    FRN 598291

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 9A. Advising on P2P agreements
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF1 Chief Executive (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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF3 Chief Executive (11 Aug 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Aug 2014 to 30 Sep 2018)
    • CF10 Compliance Oversight (11 Aug 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Aug 2014 to 8 Dec 2019)
    • CF1 Director (25 Jul 2014 to 8 Dec 2019)
    • CF30 Customer (21 Feb 2014 to 8 Dec 2019)
  • The Wealth Group Limited (no longer approved here)

    FRN 443827

    • CF30 Customer (1 Nov 2007 to 19 Feb 2014)
    • CF1 Director (30 Jun 2006 to 19 Feb 2014)
    • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (30 Jun 2006 to 19 Feb 2014)
    • CF10 Compliance Oversight (30 Jun 2006 to 1 Oct 2010)

Recent activity

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

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