Kevin Finlayson

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.

  • WPS ADVISORY Ltd

    FRN 624546

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 May 2025)
    • SMF16 Compliance Oversight (since 9 May 2025)
    • [FCA CF] Functions requiring qualifications (since 20 Jul 2021)
    • SMF18 Other Overall Responsibility (19 Oct 2021 to 23 Sep 2024)
  • MacIntosh James and Partners Limited (no longer approved here)

    FRN 402757

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2021)
    • CF30 Customer (26 Jul 2011 to 8 Dec 2019)

Recent activity

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

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