Joseph John McKenna

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.

  • Joseph John McKenna

    FRN 482616

    • 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)
    • 17. Administrative functions in relation to managing investments
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 20 Jun 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Jun 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 20 Jun 2025)
    • CF8 Apportionment and Oversight (21 Jan 2009 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (21 Jan 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Jan 2009 to 30 Sep 2018)
    • CF30 Customer (4 Jun 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jun 2008 to 8 Dec 2019)
  • Ideal Financial Management Limited (no longer approved here)

    FRN 209535

    • CF30 Customer (1 Nov 2007 to 30 May 2008)
    • CF21 Investment Adviser (4 Nov 2002 to 31 Oct 2007)

Recent activity

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

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