Harjit Kaur Dhesi

Last updated
6 days ago
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Where they hold approval

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

  • OWM Limited

    FRN 966979

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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 21 Apr 2022)
    • Responsible for Insurance Distribution (since 21 Apr 2022)
    • SMF16 Compliance Oversight (since 21 Apr 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Apr 2022)
    • SMF3 Executive Director (since 21 Apr 2022)
    • [FCA CF] Client dealing (since 21 Apr 2022)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • [FCA CF] Client dealing (9 Dec 2019 to 26 Apr 2022)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 26 Apr 2022)
    • CF30 Customer (2 Jan 2015 to 26 Apr 2022)
    • CF1 Director (AR) (2 Jan 2015 to 26 Apr 2022)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 20 Jun 2013)
    • CF21 Investment Adviser (1 Dec 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.