Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
KCM Wealth Management Ltd
FRN 610015
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 19 Jan 2021)
- [FCA CF] Functions requiring qualifications (since 19 Jan 2021)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (27 Feb 2014 to 8 Dec 2019)
- CF1 Director (27 Feb 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (27 Feb 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (27 Feb 2014 to 8 Dec 2019)
- Responsible for Insurance Mediation (27 Feb 2014 to 30 Sep 2018)
-
- Director of firm who is not a certification employee or a SMF manager (23 Nov 2021 to 23 Jun 2023)
-
- CF30 Customer (21 Dec 2007 to 31 Dec 2010)
-
- CF21 Investment Adviser (14 Mar 2002 to 31 May 2007)
- CF1 Director (AR) (14 Mar 2002 to 31 May 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.