Katherine Elizabeth Shaw

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Financial Life Planning Limited

    FRN 928734

    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • Responsibility for MCD Intermediation (since 9 Dec 2020)
    • Responsible for Insurance Distribution (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 8 Dec 2020)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 8 Dec 2020)
    • CF1 Director (AR) (7 Apr 2015 to 8 Dec 2020)
    • CF30 Customer (19 Jan 2010 to 8 Dec 2020)
  • Harris & Associates Financial Consultants Ltd (no longer approved here)

    FRN 213121

    • (18)Employed By (20 May 2010 to 8 Dec 2020)
  • New Horizon Mortgages Limited (no longer approved here)

    FRN 414703

    • (3)Employed By (19 Jan 2010 to 8 Dec 2020)

Recent activity

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

No changes recorded yet.