Graham Ellis McKnight

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.

  • Morton Hill Ltd

    FRN 501593

    • 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] Client dealing (since 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (10 Dec 2019 to 11 Dec 2020)
    • [FCA CF] Manager of certification employee (10 Dec 2019 to 11 Dec 2020)
    • [FCA CF] Significant management (10 Dec 2019 to 11 Dec 2020)
    • Responsibility for MCD Intermediation (14 Dec 2017 to 15 Jul 2025)
    • CF1 Director (AR) (25 Apr 2017 to 23 Apr 2025)
    • CF10 Compliance Oversight (16 Jul 2009 to 8 Dec 2019)
    • CF1 Director (16 Jul 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Jul 2009 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (16 Jul 2009 to 8 Dec 2019)
    • CF30 Customer (16 Jul 2009 to 25 Apr 2025)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Dec 2001 to 11 Nov 2004)

Recent activity

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

No changes recorded yet.