Katie Diane Davis

Last updated
5 days ago
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Where they hold approval

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

  • The Prestige Family Ltd

    FRN 987299

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • [FCA CF] Functions requiring qualifications (since 21 Nov 2023)
    • [FCA CF] Client dealing (since 21 Nov 2023)
    • Responsible for Insurance Distribution (since 13 Nov 2023)
    • SMF16 Compliance Oversight (since 13 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Nov 2023)
    • SMF3 Executive Director (since 13 Nov 2023)
    • Responsibility for MCD Intermediation (since 13 Nov 2023)
  • Prestige Financial Planners Limited (no longer approved here)

    FRN 786673

    • [FCA CF] Client dealing (18 Jun 2020 to 14 Nov 2023)
    • [FCA CF] Functions requiring qualifications (18 Jun 2020 to 14 Nov 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Feb 2023)
    • SMF3 Executive Director (9 Dec 2019 to 20 Feb 2023)
    • Responsibility for MCD Intermediation (2 Jan 2018 to 20 Feb 2023)
    • CF10 Compliance Oversight (2 Jan 2018 to 8 Dec 2019)
    • CF1 Director (2 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2018 to 8 Dec 2019)
  • Active Financial Planners Limited (no longer approved here)

    FRN 193065

    • CF30 Customer (4 Sep 2014 to 27 Dec 2017)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (8 Oct 2013 to 3 Sep 2014)

Recent activity

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

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