Ian David King

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Ian King Financial Planning Ltd

    FRN 630542

    • 9A. Advising on P2P agreements
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 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)
    • Responsible for Insurance Mediation (5 Jan 2015 to 30 Sep 2018)
  • Ashwood Law Wealth Management Ltd (no longer approved here)

    FRN 538265

    • (29)Employed By (20 Jun 2013 to 2 Jan 2015)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (30 Mar 2011 to 2 Jan 2015)
  • Ashwood Law Professional Link (JVC1) Limited (no longer approved here)

    FRN 223794

    • Employed By (30 Mar 2011 to 2 Jan 2015)
  • Ashwood Law LLP (no longer approved here)

    FRN 544429

    • Employed By (30 Mar 2011 to 2 Jan 2015)
  • Expatriate Advisory Services Limited (no longer approved here)

    FRN 125686

    • CF30 Customer (1 Nov 2007 to 1 Mar 2008)
    • CF21 Investment Adviser (23 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 Oct 2004 to 23 Jun 2006)
  • Individual Savings Accounts Ltd (no longer approved here)

    FRN 188474

    • (1)Employed By (22 Oct 2004 to 1 Mar 2008)

Recent activity

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

  1. controlled function removed: Employed By at Ashwood Law Wealth Management Ltd

  2. controlled function added: (29)Employed By at Ashwood Law Wealth Management Ltd

  3. controlled function removed: Employed By at Individual Savings Accounts Ltd

  4. controlled function added: (1)Employed By at Individual Savings Accounts Ltd