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Daniel Pugsley
As Head of Regulation my role is to advise the business to ensure it is compliant with all relevant regulatory and legislative requirements, through designing, developing, implementing, delivering and maintaining an appropriate and proportionate systems and controls framework.
This ensures that the business can progress towards and meet its objectives and support the development of processes and efficiencies that work to benefit our clients and continually enhance the service we provide to them.
My Qualifications
- Diploma in Financial Planning
- Financial Planning Certificate
- Certificate in Equity Release
- Certificate in Mortgage Advice
- Certificate in Life & Pensions
- ICA International Diploma in Governance, Risk and Compliance
What drives me?
I have been at The Private Office since March 2017.
I love spending time with family and friends, visiting European cities, am a keen cyclist, craft beer enthusiast and enjoy watching cricket, the theatre and going to gigs.
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We are Chartered Financial Planners, publicly committed to a customer-first approach and values that align with a professional Code of Ethics. We’ll provide solutions relevant to your needs, maintaining our knowledge through qualifications and ongoing professional development. This sets us apart from other financial advisory firms and demonstrates our commitment to the industry and our vision and values - to protect and grow our clients’ wealth through a service built on the foundations of integrity, confidence and partnership. |
FCA regulated
The FCA regulates and oversees the conduct of more than 50,000 firms in the UK, which provide financial advice, products and services to retail clients and private investors.
How do I help you?
- I ensure that the advice and service delivered to you is compliant with all relevant regulatory and legislative requirements.
- I help design and implement robust systems and controls that ensure you are provided with the highest standards of protection, safeguarding and financial prudence.
- I support the development of processes and efficiencies to enhance the level of service provided to you.
Meet our specialists
We have a number of specialists that support TPO in the delivery of your advice