Where they hold approval

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

  • KML Financial Services Limited (no longer approved here)

    FRN 226353

    • SMF3 Executive Director (9 Dec 2019 to 1 May 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Sep 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (29 Aug 2003 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (29 Aug 2003 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (29 Aug 2003 to 2 Sep 2019)
    • CF10 Compliance Oversight (29 Aug 2003 to 2 Sep 2019)
    • CF1 Director (29 Aug 2003 to 8 Dec 2019)
  • Kernow Credit Union Limited (no longer approved here)

    FRN 223115

    • CF1 Director (19 Feb 2004 to 24 Feb 2005)
    • CF11 Money Laundering Reporting (19 Feb 2004 to 24 Feb 2005)

Recent activity

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

No changes recorded yet.