Keith Malcolm David Penny

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.

  • Pennymatters Limited

    FRN 530681

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 9 Dec 2019)
    • CF30 Customer (14 Jan 2011 to 8 Dec 2019)
    • CF1 Director (14 Jan 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Jan 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Jan 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2011 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 25 Mar 2011)
    • CF21 Investment Adviser (27 Oct 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Aug 2006 to 27 Oct 2006)

Recent activity

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

No changes recorded yet.