Diane Thomson Kennedy

Last updated
3 weeks ago
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Where they hold approval

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

  • Policy Services Limited

    FRN 214036

    • 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] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 May 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 May 2020)
    • CF10 Compliance Oversight (6 Nov 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (8 May 2009 to 8 Dec 2019)

Recent activity

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

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