Amy Ballingall

Last updated
2 weeks ago
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Where they hold approval

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

  • RBK WEALTH MANAGEMENT LTD

    FRN 207491

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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
    • [FCA CF] Client dealing (since 18 Mar 2026)
    • [FCA CF] Functions requiring qualifications (since 18 Mar 2026)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Jan 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Jan 2022)
    • SMF3 Executive Director (9 Dec 2019 to 27 Jan 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jan 2023)
    • Responsibility for MCD Intermediation (13 Oct 2016 to 27 Jan 2022)
    • CF1 Director (19 Jun 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Feb 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Feb 2014 to 8 Dec 2019)
    • CF30 Customer (16 Mar 2009 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (10 Feb 2022 to 17 Mar 2026)
    • [FCA CF] Client dealing (10 Feb 2022 to 17 Mar 2026)

Recent activity

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

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