Keith Andrew Thomson

Last updated
1 week ago
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Where they hold approval

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

  • LAUDER FINANCIAL LTD

    FRN 748243

    • 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
    • SMF3 Executive Director (since 10 Jul 2024)
    • [FCA CF] Functions requiring qualifications (since 20 Apr 2023)
    • [FCA CF] Client dealing (since 20 Apr 2023)
  • Thomson Wealth Management Ltd

    FRN 722559

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
    • [FCA CF] Client dealing (since 7 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (1 May 2018 to 21 Mar 2019)
    • Responsible for Insurance Mediation (11 Apr 2016 to 30 Sep 2018)
    • CF30 Customer (11 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Apr 2016 to 8 Dec 2019)
    • CF1 Director (11 Apr 2016 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (12 Jan 2010 to 3 Sep 2013)
  • ARGYLE CONSULTING LIMITED (no longer approved here)

    FRN 185561

    • CF30 Customer (1 Nov 2007 to 31 Aug 2009)
    • CF24 Pension Transfer Specialist (15 Aug 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)

Recent activity

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

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