Arvind Kohli

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Acer Consultancy Services Ltd

    FRN 750786

    • 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
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 9A. Advising on P2P agreements
    • 10. Broker fund adviser
    • [FCA CF] Manager of certification employee (since 17 Jan 2020)
    • [FCA CF] Client dealing (since 17 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 17 Jan 2020)
    • [FCA CF] Significant management (since 17 Jan 2020)
    • [FCA CF] Material risk taker (since 17 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 1 Nov 2016)
    • CF11 Money Laundering Reporting (1 Nov 2016 to 8 Dec 2019)
    • CF1 Director (1 Nov 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Nov 2016 to 30 Sep 2018)
  • Rosemount Financial Solutions Ltd (no longer approved here)

    FRN 448935

    • (75)Employed By (11 Sep 2015 to 24 Nov 2016)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 Nov 2007 to 7 Feb 2011)
    • CF22 Investment Adviser (Trainee) (26 Sep 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.