Keith Hamish Miller

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.

  • Capital Managers LLP

    FRN 435939

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (6)[FCA CF] Manager of certification employee (since 9 Dec 2019)
    • (3)SMF27 Partner (since 9 Dec 2019)
    • (5)[FCA CF] Client dealing (since 9 Dec 2019)
    • (7)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (4)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (32)CF10 Compliance Oversight (23 Nov 2016 to 8 Dec 2019)
    • (31)CF30 Customer (26 Jan 2010 to 8 Dec 2019)
    • (33)CF4 Partner (26 Jan 2010 to 8 Dec 2019)
  • Finesco Financial Services Limited (no longer approved here)

    FRN 114543

    • CF30 Customer (1 Nov 2007 to 8 Jan 2010)
    • CF24 Pension Transfer Specialist (25 Jul 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (18 Jun 2003 to 31 Oct 2007)

Recent activity

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

  1. controlled function removed: SMF27 Partner at Capital Managers LLP

  2. controlled function removed: SMF16 Compliance Oversight at Capital Managers LLP

  3. controlled function removed: [FCA CF] Manager of certification employee at Capital Managers LLP

  4. controlled function removed: [FCA CF] Client dealing at Capital Managers LLP

  5. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Capital Managers LLP

  6. controlled function removed: [FCA CF] Functions requiring qualifications at Capital Managers LLP

  7. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Capital Managers LLP

  8. controlled function added: (31)CF30 Customer at Capital Managers LLP

  9. controlled function added: (32)CF10 Compliance Oversight at Capital Managers LLP

  10. controlled function added: (33)CF4 Partner at Capital Managers LLP

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