RICHARD KEEN (INSURANCE BROKERS) LIMITED

• Principal Place of Business

  Keen Insurance

  46-48 The Parade

  Neath

  Neath Port Talbot

  SA11 1RN

  UNITED KINGDOM

  Phone

  +4401639646464

  Web

  https://www.keeninsurance.co.uk

• Complaints Contact

  Keen Insurance

  46-48 The Parade

  Neath

  Neath Port Talbot

  SA11 1RN

  UNITED KINGDOM

  Phone

  +4401639646464

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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 Hide limitations

  • · 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 Hide limitations

  • · 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 Hide limitations

  • · 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

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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 Hide limitations

  • · 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.

• Catherine May Robinson

  IRN CMR01128

  • [FCA CF] Significant management (1 Jan 2020 to 2 Aug 2023)
  • [FCA CF] Client dealing (1 Jan 2020 to 2 Jan 2020)
  • SMF3 Executive Director (9 Dec 2019 to 10 Jun 2023)
  • CF1 Director (5 Aug 2014 to 8 Dec 2019)
• Christopher Charles Thomas

  IRN CCT00003

  • CF30 Customer (1 Nov 2007 to 15 Sep 2010)
  • CF1 Director (8 Jul 2004 to 25 Oct 2005)
  • CF21 Investment Adviser (13 May 2002 to 31 Oct 2007)
• David Huw Jones

  IRN DHJ01005

  • CF29 Significant management (1 Nov 2007 to 31 Dec 2010)
  • CF1 Director (3 May 2006 to 31 Dec 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (14 Dec 2005 to 31 Oct 2007)
• Dawn Lorrane Rattenbury

  IRN DLR00015

  • [FCA CF] Significant management (since 1 Jan 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (1 Jan 2020 to 2 Jan 2020)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Gareth John Davies

  IRN GJD00019

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • CF30 Customer (1 Nov 2010 to 8 Dec 2019)
• Gareth Richard Keen

  IRN GRK00010

  • [FCA CF] Significant management (since 1 Jan 2020)
  • [FCA CF] CASS oversight function (since 1 Jan 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • [FCA CF] Client dealing (1 Jan 2020 to 2 Jan 2020)
  • [FCA CF] Manager of certification employee (1 Jan 2020 to 2 Jan 2020)
  • [FCA CF] Benchmark submission and administration (1 Jan 2020 to 2 Jan 2020)
  • CF10 Compliance Oversight (1 Nov 2005 to 8 Dec 2019)
  • CF3 Chief Executive (1 Nov 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Nov 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (1 Nov 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Nov 2005 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Jeffrey Lee Partridge

  IRN JLP01077

  • CF1 Director (3 Feb 2003 to 7 Oct 2011)
• Joanne Lovering-Keen

  IRN JXL01958

  • [FCA CF] Client dealing (1 Jan 2020 to 25 Apr 2025)
  • [FCA CF] Significant management (1 Jan 2020 to 2 Jan 2020)
  • SMF3 Executive Director (9 Dec 2019 to 29 Apr 2025)
  • CF1 Director (12 May 2014 to 8 Dec 2019)
• Katherine Rabaiotti

  IRN KXR01287

  • CF30 Customer (25 Mar 2009 to 1 Dec 2009)
• Leonard Nicholas

  IRN LXN00005

  • CF30 Customer (16 Jan 2008 to 6 Oct 2008)

• Commercial & Business Financial Ltd (no longer appointed)

  FRN 468759 · Appointed 7 Jun 2007 · Until 11 Oct 2011

No changes recorded yet.