Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RICHARD KEEN (INSURANCE BROKERS) LIMITED
FRN 116686
- [FCA CF] CASS oversight function (since 1 Jan 2020)
- [FCA CF] Significant management (since 1 Jan 2020)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- [FCA CF] Manager of certification employee (1 Jan 2020 to 2 Jan 2020)
- [FCA CF] Client dealing (1 Jan 2020 to 2 Jan 2020)
- [FCA CF] Benchmark submission and administration (1 Jan 2020 to 2 Jan 2020)
- CF3 Chief Executive (1 Nov 2005 to 8 Dec 2019)
- CF8 Apportionment and Oversight (1 Nov 2005 to 31 Mar 2009)
- Responsible for Insurance Mediation (1 Nov 2005 to 30 Sep 2018)
- CF10 Compliance Oversight (1 Nov 2005 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Nov 2005 to 8 Dec 2019)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.