Keith Alexander Hayes

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.

  • Sterling Independent Advisers LLP

    FRN 469508

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (21 Dec 2012 to 30 Sep 2018)
    • CF10a CASS Oversight function (21 Dec 2012 to 27 Dec 2012)
    • CF11 Money Laundering Reporting (21 Dec 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (21 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (2 Oct 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2007 to 31 Oct 2007)
  • Sterling Independent Advisers (no longer approved here)

    FRN 172804

    • (5)Employed By (1 Oct 1998 to 30 Sep 2007)

Recent activity

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

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