Adrian Mark Knott

Last updated
3 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Knott Another Mortgage Adviser Limited

    FRN 300531

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF9 Chair of the Governing Body (since 29 Feb 2020)
    • SMF16 Compliance Oversight (since 29 Feb 2020)
    • SMF1 Chief Executive (since 29 Feb 2020)
    • SMF27 Partner (since 29 Feb 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF14 Risk Assessment (31 Oct 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • CF15 Internal Audit (31 Oct 2004 to 31 Oct 2007)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
    • CF13 Finance (31 Oct 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (31 Oct 2004 to 8 Dec 2019)
  • Alexander Hall Associates Limited (no longer approved here)

    FRN 154485

    • CF21 Investment Adviser (1 Dec 2001 to 4 Feb 2004)

Recent activity

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

No changes recorded yet.