James Michael Keen

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.

  • Mountstone Partners Limited

    FRN 583147

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 16 Aug 2022)
    • [FCA CF] Functions requiring qualifications (since 16 Aug 2022)
    • [FCA CF] Significant management (since 16 Aug 2022)
    • [FCA CF] Material risk taker (since 16 Aug 2022)
    • [FCA CF] Manager of certification employee (since 16 Aug 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (7 Apr 2014 to 8 Dec 2019)
    • CF3 Chief Executive (27 Jul 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Jul 2012 to 8 Dec 2019)
    • CF1 Director (27 Jul 2012 to 8 Dec 2019)
    • CF30 Customer (27 Jul 2012 to 8 Dec 2019)
  • Bowmore Asset Management Limited (no longer approved here)

    FRN 626431

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 May 2021)
    • SMF3 Executive Director (9 Dec 2019 to 16 Mar 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 May 2021)
    • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
    • CF1 Director (3 Nov 2014 to 8 Dec 2019)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • CF30 Customer (1 Nov 2007 to 9 May 2012)
    • CF1 Director (29 Oct 2007 to 4 May 2012)
    • CF26 Customer Trading (11 Jul 2006 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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