Duncan Earl Powell

IRN: DEP00009•Active
Type
Approved Person
Known As
—
Total Roles
28
Active Roles
12

Current Roles (12)

FirmRoleSince
Fhoenix Estates LimitedCPD7 - Personal recommendation on long-term care insurance15/06/2020
Fhoenix Estates LimitedThe Chartered Insurance Institute (CII)15/06/2020
Fhoenix Estates LimitedThe Chartered Institute for Securities and Investment (CISI)15/06/2020
Fhoenix Estates LimitedCPD9A - Advising on P2P agreements15/06/2020
Fhoenix Estates LimitedCPD4 - Personal recommendation on retail investments (not broker funds)15/06/2020
Fhoenix Estates LimitedCPD6 - Personal recommendation on Friendly Soc tax-exempt policies(not Holloway)15/06/2020
Fhoenix Estates LimitedSMF3 Executive Director09/12/2019
Fhoenix Estates LimitedSMF16 Compliance Oversight09/12/2019
Fhoenix Estates LimitedSMF17 Money Laundering Reporting Officer (MLRO)09/12/2019
Fhoenix Estates Limited[FCA CF] Client dealing09/12/2019
Fhoenix Estates Limited[FCA CF] Functions requiring qualifications09/12/2019
Fhoenix Estates LimitedResponsible for Insurance Distribution01/10/2018

Past Roles (16)

FirmRoleFromToStatus
Fhoenix Estates Limited[FCA CF] Significant management09/12/201917/03/2021Withdrawn
Fhoenix Estates Limited[FCA CF] Manager of certification employee09/12/201917/03/2021Withdrawn
Fhoenix Estates Limited[PRA CF] Key function holder09/12/201917/03/2021Withdrawn
Fhoenix Estates LimitedCF30 Customer01/11/200708/12/2019Withdrawn
Fhoenix Estates LimitedCF10 Compliance Oversight18/05/200508/12/2019Withdrawn
Fhoenix Estates LimitedCF8 Apportionment and Oversight18/05/200531/03/2009Withdrawn
Fhoenix Estates LimitedResponsible for Insurance Mediation18/05/200530/09/2018Converted
Fhoenix Estates LimitedCF1 Director19/04/200508/12/2019Withdrawn
Fhoenix Estates LimitedCF21 Investment Adviser19/04/200531/10/2007Converted
Fhoenix Estates LimitedCF24 Pension Transfer Specialist19/04/200531/10/2007Converted
Fhoenix Estates LimitedCF11 Money Laundering Reporting19/04/200508/12/2019Withdrawn
Millfield Partnership LimitedCF21 Investment Adviser31/03/200520/06/2005Withdrawn
Inter-Alliance (Group Practices) LimitedCF1 Director (AR)15/12/200331/03/2005Withdrawn
Inter-Alliance (Group Practices) LimitedCF21 Investment Adviser02/12/200331/03/2005Withdrawn
Fhoenix Financial Services LtdEmployed By02/12/200331/03/2005Terminated
Addiscombe Group LimitedCF21 Investment Adviser01/12/200102/12/2003Withdrawn (Form E)