Kate Parfitt

Last updated
3 weeks ago
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Where they hold approval

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

  • Alexander Beard Investment Management Limited (no longer approved here)

    FRN 225566

    • Responsible for Insurance Distribution (7 Oct 2024 to 14 Apr 2025)
    • CF1 Director (AR) (7 Sep 2021 to 12 Nov 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2025)
    • SMF3 Executive Director (9 Dec 2019 to 14 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Apr 2025)
    • Responsibility for MCD Intermediation (23 Nov 2018 to 14 Apr 2025)
    • CF1 Director (30 Jul 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Jun 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Jun 2018 to 8 Dec 2019)
  • Alexander Beard Ltd. (no longer approved here)

    FRN 765002

    • (14)Employed By (7 Sep 2021 to 12 Nov 2021)
  • Atomos Financial Planning Limited (no longer approved here)

    FRN 193503

    • CF1 Director (4 Aug 2009 to 3 Apr 2013)
    • CF11 Money Laundering Reporting (8 Sep 2008 to 19 Apr 2013)
    • CF10 Compliance Oversight (8 Sep 2008 to 19 Apr 2013)
    • CF30 Customer (1 Nov 2007 to 19 Dec 2008)
    • CF21 Investment Adviser (19 Dec 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Dec 2004 to 19 Dec 2005)

Recent activity

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

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