Howard Kennedy Corporate Services LLP

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Professional, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Professional, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Professional, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Senior staff personally approved by the FCA to hold their roles here.

Michael Harris
IRN MXH01441
- CF4 Partner (17 Feb 2011 to 5 Dec 2019)
- CF30 Customer (17 Feb 2011 to 8 Dec 2019)
Scott Ross Mclean
IRN SXM04389
- [FCA CF] Client dealing (since 24 Jan 2024)
Stephen Heinemann
IRN SXH01815
- SMF27 Partner (since 24 Jul 2024)
- [FCA CF] Client dealing (since 25 Jan 2024)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF30 Customer (17 Feb 2011 to 8 Dec 2019)
- CF11 Money Laundering Reporting (17 Feb 2011 to 8 Dec 2019)
- CF10 Compliance Oversight (17 Feb 2011 to 8 Dec 2019)
William Edward Bateman
IRN WEB01038
- CF30 Customer (30 Nov 2011 to 20 May 2014)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.