Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Kensington Place Research Ltd
FRN 796599
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 15 Mar 2021)
- [FCA CF] Client dealing (since 15 Mar 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF10 Compliance Oversight (27 Dec 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (15 Aug 2018 to 8 Dec 2019)
- CF30 Customer (15 Aug 2018 to 8 Dec 2019)
- CF1 Director (15 Aug 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.