Antony Keen

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.

  • PM&M Financial Planning Ltd

    FRN 459324

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Oct 2020)
    • SMF16 Compliance Oversight (since 28 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (24 Mar 2017 to 30 Sep 2018)
    • CF1 Director (25 Sep 2014 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
  • PM & M Financial Services Ltd (no longer approved here)

    FRN 190149

    • (5)Employed By (29 Dec 2005 to 29 Dec 2006)

Recent activity

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

No changes recorded yet.