Kenneth David Mark James

Last updated
3 days ago
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Where they hold approval

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

  • Contractor Mortgage Services Ltd

    FRN 937166

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 17 Mar 2021)
    • SMF3 Executive Director (since 17 Mar 2021)
    • SMF16 Compliance Oversight (since 17 Mar 2021)
    • Responsible for Insurance Distribution (since 17 Mar 2021)
    • Responsibility for MCD Intermediation (since 17 Mar 2021)
    • [PRA CF] Key function holder (17 Mar 2021 to 5 May 2021)
    • Sole trader dealing with clients for which they require qualification (17 Mar 2021 to 5 May 2021)
    • [FCA CF] Benchmark submission and administration (17 Mar 2021 to 5 May 2021)
    • [FCA CF] CASS oversight function (17 Mar 2021 to 5 May 2021)
    • [FCA CF] Significant management (17 Mar 2021 to 5 May 2021)
  • MORTGAGE INTELLIGENCE LIMITED (no longer approved here)

    FRN 305330

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 17 Mar 2021)
    • CF1 Director (AR) (18 Nov 2016 to 17 Mar 2021)
  • Contractor Mortgage Services Ltd (no longer approved here)

    FRN 741346

    • Employed By (18 Nov 2016 to 17 Mar 2021)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 2 Oct 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (7 Feb 2002 to 29 Jul 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 7 Feb 2002)

Recent activity

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

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