Keith George Lilley

Last updated
3 weeks ago
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Where they hold approval

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

  • Keith George Lilley

    FRN 149780

    • [FCA CF] Significant management (since 3 Aug 2020)
    • [PRA CF] Key function holder (since 3 Aug 2020)
    • [FCA CF] Benchmark submission and administration (since 3 Aug 2020)
    • [FCA CF] CASS oversight function (since 3 Aug 2020)
    • [FCA CF] Client dealing (since 3 Aug 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (since 1 Nov 2007)
    • SMF27 Partner (9 Dec 2019 to 17 Jan 2025)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Jan 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Tower Financial Services (no longer approved here)

    FRN 154124

    • Employed By (1 Oct 1998 to 17 Jan 2025)

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