Eric Kaye

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.

  • Mandan Financial Management

    FRN 506602

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (9 Apr 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Apr 2010 to 8 Dec 2019)
    • CF4 Partner (9 Apr 2010 to 8 Dec 2019)
  • RAVENSTONE FINANCIAL MANAGEMENT LTD. (no longer approved here)

    FRN 207506

    • CF24 Pension Transfer Specialist (12 Oct 2002 to 15 Dec 2004)
    • CF21 Investment Adviser (9 May 2002 to 15 Dec 2004)

Recent activity

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

No changes recorded yet.