Gurinder Kaur Kooner

Last updated
1 week ago
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Where they hold approval

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

  • Alpha Independent Financial Solutions Limited

    FRN 653046

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
    • [FCA CF] Client dealing (since 19 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] CASS oversight function (19 Nov 2020 to 19 Nov 2020)
    • [FCA CF] Benchmark submission and administration (19 Nov 2020 to 19 Nov 2020)
    • [FCA CF] Manager of certification employee (19 Nov 2020 to 19 Nov 2020)
    • [PRA CF] Key function holder (19 Nov 2020 to 19 Nov 2020)
    • [FCA CF] Significant management (19 Nov 2020 to 19 Nov 2020)
    • Responsible for Insurance Mediation (5 Jan 2015 to 30 Sep 2018)
    • CF1 Director (5 Jan 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Jan 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Jan 2015 to 8 Dec 2019)
    • CF30 Customer (5 Jan 2015 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
    • CF21 Investment Adviser (27 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Sep 2005 to 27 Jul 2006)

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

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