Keith Neville Nicholas

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.

  • K & K Insurance Services

    FRN 300095

    • 16. Safeguarding and administering investments or holding client money
    • [PRA CF] Significant risk taker or Material risk taker (since 16 Jul 2020)
    • [FCA CF] Benchmark submission and administration (since 16 Jul 2020)
    • [FCA CF] CASS oversight function (since 16 Jul 2020)
    • [FCA CF] Client dealing (since 16 Jul 2020)
    • [FCA CF] Functions requiring qualifications (since 16 Jul 2020)
    • [FCA CF] Material risk taker (since 16 Jul 2020)
    • [FCA CF] Proprietary trader (since 16 Jul 2020)
    • [FCA CF] Significant management (since 16 Jul 2020)
    • [PRA CF] Key function holder (since 16 Jul 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF4 Partner (14 Jan 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 31 Oct 2007)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
    • CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)

Recent activity

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

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