Jenna Gaye Duffett

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.

  • Shackleton Advisers Limited

    FRN 163291

    • 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)
    • [FCA CF] Client dealing (since 2 Dec 2024)
    • [FCA CF] Functions requiring qualifications (since 2 Dec 2024)
    • [FCA CF] Manager of certification employee (since 2 Dec 2024)
  • KMG Investment Management Limited (no longer approved here)

    FRN 610230

    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2025)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 14 Dec 2022)
    • SMF3 Executive Director (9 Dec 2019 to 24 Apr 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 15 Oct 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Oct 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 15 Oct 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 14 Dec 2022)
    • CF30 Customer (12 Sep 2014 to 8 Dec 2019)
    • CF1 Director (12 Sep 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Sep 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Sep 2014 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2002)

Recent activity

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

No changes recorded yet.