Harriet Anne MacKenzie-Williams

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.

  • KEYSTONE FINANCIAL LIMITED

    FRN 501917

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 8 Feb 2024)
    • [FCA CF] Functions requiring qualifications (since 8 Feb 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (3 Aug 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Aug 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Aug 2009 to 31 Dec 2018)
    • CF30 Customer (3 Aug 2009 to 18 Apr 2016)
    • Responsible for Insurance Mediation (3 Aug 2009 to 30 Sep 2018)
  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • CF10 Compliance Oversight (1 Sep 2008 to 4 Jan 2009)
    • CF1 Director (25 Feb 2008 to 9 Jan 2009)
    • CF30 Customer (1 Nov 2007 to 9 Jan 2009)
    • CF21 Investment Adviser (23 Aug 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Feb 2005 to 23 Aug 2005)
  • Harwood Gough Associates (no longer approved here)

    FRN 206128

    • Employed By (10 Nov 2004 to 31 Jan 2005)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (25 Sep 2002 to 8 Jul 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 25 Sep 2002)

Recent activity

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

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