KNG Financial Management LLP

Date authorised
1 April 2013
Companies House
OC335249
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    K N G Financial Management Llp
    Pegholme
    Wharfebank Mills
    Ilkley Road
    Otley
    Leeds
    LS21 3JP
    UNITED KINGDOM
    Phone
    +4401943468753
    Web
    https://www.kngfinancial.co.uk

  • Complaints Contact

    K N G Financial Management LLP
    Pegholme
    Wharfebank Mills
    Ilkley Road
    Otley
    West Yorkshire
    LS21 3JP
    UNITED KINGDOM
    Phone
    +4401943468753

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Christine Gill

    IRN CXG01604

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (14 Oct 2013 to 8 Dec 2019)
  • Keith Gill

    IRN KXG00045

    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Nov 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 26 Nov 2020)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 26 Nov 2020)
    • Responsible for Insurance Mediation (2 Jun 2008 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (2 Jun 2008 to 31 Mar 2009)
    • CF4 Partner (2 Jun 2008 to 8 Dec 2019)
    • CF30 Customer (2 Jun 2008 to 12 Apr 2019)
    • CF11 Money Laundering Reporting (2 Jun 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jun 2008 to 8 Dec 2019)
  • Nicola Joanne Gill

    IRN NJG01134

    • CF4 Partner (2 Jun 2008 to 25 Sep 2013)
  • Samantha Jane Bozson

    IRN SJB01566

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 11 Dec 2020)
    • Responsibility for MCD Intermediation (since 11 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (24 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (24 May 2019 to 8 Dec 2019)
    • CF30 Customer (8 Jun 2009 to 8 Dec 2019)
  • Steven Anthony Jeffries

    IRN SAJ00020

    • CF30 Customer (14 May 2010 to 11 Apr 2019)

Recent activity

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

No changes recorded yet.