Donna Knowles

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.

  • Winders Wealth Management Limited

    FRN 197136

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 5 May 2017)
    • CF10 Compliance Oversight (5 May 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 May 2017 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (13 Jun 2016 to 8 Dec 2019)
    • CF1 Director (16 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (27 Sep 2012 to 8 Dec 2019)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (12 Sep 2002 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (29 Jan 2002 to 12 Sep 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (12 Sep 2002 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (29 Jan 2002 to 12 Sep 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (12 Sep 2002 to 1 Jun 2003)
    • CF22 Investment Adviser (Trainee) (29 Jan 2002 to 12 Sep 2002)

Recent activity

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

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