Katrina Jane Duke

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.

  • Dukes Financial Planning LLP

    FRN 462646

    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Apr 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Apr 2023)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 24 Apr 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Apr 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
    • CF4 Partner (2 Apr 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Apr 2007 to 31 Mar 2009)
    • CF10 Compliance Oversight (2 Apr 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Apr 2007 to 30 Sep 2018)
  • Premier Financial Planning (no longer approved here)

    FRN 189446

    • CF21 Investment Adviser (26 Jul 2005 to 1 Apr 2007)

Recent activity

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

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