Diane Patricia Wilkins

Last updated
1 month ago
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Where they hold approval

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

  • The Broughton Wilkins Partnership Ltd

    FRN 195273

    • (31)4. Giving personal recommendations on retail investment products which are not broker funds
    • (29)7. Giving personal recommendations on long-term care insurance contracts
    • (30)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (35)[FCA CF] Client dealing (since 9 Dec 2019)
    • (34)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (33)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (37)[FCA CF] Significant management (since 9 Dec 2019)
    • (36)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (32)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (10)SMF3 Executive Director (9 Dec 2019 to 30 May 2025)
    • (11)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (9)Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • (14)CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • (16)CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • (12)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (13)CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • (15)CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)

Recent activity

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

  1. controlled function added: (10)SMF3 Executive Director at The Broughton Wilkins Partnership Ltd

  2. controlled function added: (11)CF30 Customer at The Broughton Wilkins Partnership Ltd

  3. controlled function added: (12)CF21 Investment Adviser at The Broughton Wilkins Partnership Ltd

  4. controlled function added: (13)CF11 Money Laundering Reporting at The Broughton Wilkins Partnership Ltd

  5. controlled function added: (14)CF10 Compliance Oversight at The Broughton Wilkins Partnership Ltd

  6. controlled function added: (15)CF8 Apportionment and Oversight at The Broughton Wilkins Partnership Ltd

  7. controlled function added: (16)CF1 Director at The Broughton Wilkins Partnership Ltd

  8. controlled function added: (29)7. Giving personal recommendations on long-term care insurance contracts at The Broughton Wilkins Partnership Ltd

  9. controlled function added: (30)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at The Broughton Wilkins Partnership Ltd

  10. controlled function added: (31)4. Giving personal recommendations on retail investment products which are not broker funds at The Broughton Wilkins Partnership Ltd

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