Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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King's Court Financial Planning LLP
FRN 613020
- 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
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 7. Giving personal recommendations on long-term care insurance contracts
- [PRA CF] Key function holder (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] CASS oversight function (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (2 Jun 2014 to 8 Dec 2019)
- CF4 Partner (2 Jun 2014 to 8 Dec 2019)
- Responsible for Insurance Mediation (2 Jun 2014 to 30 Sep 2018)
- CF10 Compliance Oversight (2 Jun 2014 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.