11 Oct Financial Services Regulation Limited
Why I am the right person for your business
I am passionate about the benefit that financial services bring to customers. If your ethos is right, your financial advice and investment management can only be in their best interests. I give firms the best possible professional help and service so that they can concentrate on what they do best; giving financial advice and managing the money of their customers.
I have the knowledge and experience that investment professionals need. I have extensive experience of FCA work including reviews. I am an experienced complaints handler both for FOS and the Pensions Ombudsman. I am a qualified Pensions Transfer Specialist (PTS).
As well as holding FCA Governing Functions, I have for many years been, and remain, a CF 10 and CF 11 for firms including a discretionary fund manager, SIPP Operator and a financial adviser firm. I hold a Statement of Professional Standing (SPS) including Securities and Derivatives. I worked as a Project Manager with an earlier regulator.
I continue to develop myself by regularly attending training courses. I provide training to several adviser firms. I have appeared on BBC Radio 4’s Money Box as their “Compliance Expert” and was technical consultant to the Panorama investigation into Pension scams broadcast in July 2016. I have previously been the author of the CISI’s education manual for their Level 6 qualification Private Client Investment Advice and Management (PCIAM) as well as technical reviewer for Pension Transfers and Pension Administration.
I am a Pensions Ombudsman dispute resolution volunteer adviser.
General Financial Qualifications
CISI PCIAM Private Client Investment Advice and Management (Level 6), AF1 Personal Tax & Trust Planning, AF5 Financial Planning Process, J01 Personal Tax, J08 Financial Planning Practice, CF5 Integrated Financial Planning, CF8 Long Term Care, R05 Financial Protection, FPC Financial Planning Certificate.
Regulation and Ethics
CISI Diploma in Investment Compliance (Level 6), AF6 Senior Management and Supervision, CISI Integrity matters (Grade A), R01 Financial Services, regulation and ethics, CISI Client Money and Assets, FA5 ISA Administration, H15 Supervision and Sales Management examination, CF1 UK Financial Services, Regulation and Ethics.
CISI Certificate in Pension Transfers & Planning Advice (Level 6), AF3 Pension Planning, R08 Pensions Update, G60 Pensions, J04 Pension Funding Options, J05 Pension Income Options, CF9 Pensions Simplification.
AF4, Investment Planning, J10 Discretionary Investment Management, CISI Investment Advice Diploma (Securities), J06 Investment Principles, Markets and Environment, SV1 Savings and Investments.
Mortgage & Equity Release
Certificate in Mortgage Advice, Certificate in Equity Release, CF7 Lifetime Mortgage Activities, HR1 Home Reversion Plans, CeMap
- Authorisation - FCA
- Client Assets
- Complaints Handling
- Compliance Training
- Contracting / Interim
- Due Diligence
- Enforcement Action - AML and Payment Services
- Expert Witness - AML and Payment Services
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Regulatory Updates
- Collective Investments Funds
- Discretionary Fund Managers
- Financial Advisors
- Mortgage Lenders/Administrators
- Pension Advisers
- Private Client Investment Management
- Retail Investment Management
- SIPP providers