Kevin James Caple

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.

  • Caple Banks Limited

    FRN 529775

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (20 Oct 2010 to 8 Dec 2019)
    • CF1 Director (20 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (20 Oct 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 Oct 2010 to 30 Sep 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (5 Nov 2010 to 5 Nov 2010)
  • The Matrix Model Group (UK) Ltd (no longer approved here)

    FRN 401319

    • CF30 Customer (1 Nov 2007 to 30 Jul 2010)
    • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
    • CF1 Director (17 Nov 2004 to 30 Jul 2010)
  • Kellands (Bristol) Limited (no longer approved here)

    FRN 196145

    • CF21 Investment Adviser (17 Mar 2004 to 22 Nov 2004)
  • Chetwood Wealth Management Ltd (no longer approved here)

    FRN 195024

    • CF21 Investment Adviser (1 Dec 2001 to 20 Jan 2003)

Recent activity

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

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