Kimmberly Lau

Watch for changes

Where they hold approval

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

Asset Value Investors Limited
FRN 119270
- [FCA CF] Client dealing (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- [PRA CF] Key function holder (9 Dec 2020 to 26 May 2021)
- CF30 Customer (26 Aug 2011 to 8 Dec 2019)
- CF10 Compliance Oversight (11 Apr 2011 to 27 Feb 2012)
- CF11 Money Laundering Reporting (11 Apr 2011 to 27 Feb 2012)
- CF1 Director (15 Jul 2004 to 8 Dec 2019)
Commerzbank AG (no longer approved here)
FRN 124920
- CF21 Investment Adviser (1 Dec 2001 to 20 Feb 2002)

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.