Kenneth James Flaherty

Watch for changes

Where they hold approval

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

The Growth Stage Limited (no longer approved here)
FRN 800376
- [FCA CF] Client dealing (1 Jan 2020 to 31 Dec 2021)
Panmure Liberum Capital Limited (no longer approved here)
FRN 465050
- CF30 Customer (10 Jan 2013 to 30 Dec 2013)
DWS Investments UK Limited (no longer approved here)
FRN 429806
- CF27 Investment Management (28 Jun 2005 to 1 Jul 2005)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.