Katharine Talbot

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • Kate Talbot Financial Planning Limited

    FRN 943119

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 21 Jun 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jun 2021)
    • SMF3 Executive Director (since 21 Jun 2021)
    • [FCA CF] Client dealing (since 21 Jun 2021)
    • Responsible for Insurance Distribution (since 21 Jun 2021)
    • SMF16 Compliance Oversight (since 21 Jun 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 15 May 2014)
    • CF21 Investment Adviser (16 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 20 May 2003)

Recent activity

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

No changes recorded yet.