Catherine Mary Finlayson

Last updated
4 days ago
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Where they hold approval

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

  • Sunlaw Financial Planning Ltd

    FRN 1015874

    • 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)
    • [FCA CF] Functions requiring qualifications (since 17 Jan 2025)
    • Responsible for Insurance Distribution (since 17 Jan 2025)
    • SMF16 Compliance Oversight (since 17 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Jan 2025)
    • SMF3 Executive Director (since 17 Jan 2025)
    • [FCA CF] Client dealing (since 17 Jan 2025)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (9 Dec 2019 to 20 Jan 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Jan 2025)
    • CF30 Customer (21 Feb 2019 to 8 Dec 2019)
  • Seven Street Wealth Ltd (no longer approved here)

    FRN 192411

    • CF30 Customer (1 Nov 2007 to 6 Oct 2016)
    • CF24 Pension Transfer Specialist (16 Nov 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (16 Nov 2005 to 31 Oct 2007)
  • KPMG LLP (no longer approved here)

    FRN 210513

    • CF21 Investment Adviser (26 Apr 2002 to 7 Jun 2002)

Recent activity

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

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