Patricia Anne Wray

IRN: PAW00019•Active
Type
Approved Person
Known As
—
Total Roles
17
Active Roles
8

Current Roles (8)

FirmRoleSince
Patricia Anne WrayThe London Institute of Banking and Finance (LIBF) - formerly known as IFS01/12/2020
Patricia Anne WrayCPD4 - Personal recommendation on retail investments (not broker funds)01/12/2020
Patricia Anne WrayCPD6 - Personal recommendation on Friendly Soc tax-exempt policies(not Holloway)01/12/2020
Patricia Anne WrayCPD7 - Personal recommendation on long-term care insurance01/12/2020
Patricia Anne Wray[FCA CF] Functions requiring qualifications26/11/2020
Patricia Anne Wray[FCA CF] Client dealing26/11/2020
Patricia Anne WraySMF17 Money Laundering Reporting Officer (MLRO)09/12/2019
Patricia Anne WraySMF16 Compliance Oversight09/12/2019

Past Roles (9)

FirmRoleFromToStatus
Patricia Anne WrayCF30 Customer18/11/201408/12/2019Withdrawn
Patricia Anne WrayCF11 Money Laundering Reporting18/11/201408/12/2019Withdrawn
Patricia Anne WrayCF10 Compliance Oversight18/11/201408/12/2019Withdrawn
Sesame LimitedCF30 Customer01/11/200718/11/2014Withdrawn
Sesame LimitedCF21 Investment Adviser01/08/200331/10/2007Converted
Sesame LimitedCF7 Sole Trader (AR)01/08/200331/01/2007Withdrawn
DBS Financial Management PlcCF21 Investment Adviser01/12/200131/07/2003Withdrawn
DBS Financial Management PlcCF7 Sole Trader (AR)01/12/200131/07/2003Withdrawn
Anne WrayEmployed By01/10/199818/11/2014Terminated