Kevin James Froggatt

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.

  • Andrew Dickson Limited

    FRN 170708

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Mar 2021)
    • SMF3 Executive Director (9 Dec 2019 to 18 Mar 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 18 Mar 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Mar 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 18 Mar 2021)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 18 Mar 2021)
    • CF10 Compliance Oversight (25 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Jun 2019 to 8 Dec 2019)
    • CF1 Director (30 Jan 2017 to 8 Dec 2019)
    • CF30 Customer (21 Oct 2014 to 8 Dec 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 24 Jun 2008)
    • CF22 Investment Adviser (Trainee) (19 Jan 2007 to 31 Oct 2007)

Recent activity

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

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