Christopher John Malcolm

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.

  • Kelvin Financial Planning Limited

    FRN 568257

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF16 Compliance Oversight (since 1 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
    • Appointed representative dealing with clients for which they require qualification (since 30 Nov 2020)
    • [FCA CF] Client dealing (since 30 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (since 4 Sep 2013)
    • CF30 Customer (since 22 Feb 2012)
    • [FCA CF] Manager of certification employee (26 Aug 2021 to 17 Feb 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 27 Nov 2019)
    • Responsible for Insurance Mediation (14 Jun 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (14 Jun 2013 to 15 May 2017)
    • CF1 Director (22 Feb 2012 to 8 Dec 2019)
  • RA Financial Planning Limited (no longer approved here)

    FRN 602705

    • (5)Employed By (4 Sep 2013 to 6 May 2026)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (8 Nov 2011 to 30 Apr 2012)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF22 Investment Adviser (Trainee) (16 Aug 2004 to 1 Apr 2005)

Recent activity

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

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