Kompal Khurana Malvi

Watch for changes

Where they hold approval

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

TenetConnect Limited (no longer approved here)
FRN 149826
- CF30 Customer (16 Apr 2020 to 3 Jun 2020)
Gohil & Gunby Financial Services Ltd (no longer approved here)
FRN 648807
- Employed By (16 Apr 2020 to 3 Jun 2020)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (22 Jan 2019 to 31 Dec 2019)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (331)Employed By (22 Jan 2019 to 31 Dec 2019)
Ashwood Law Professional Link (JVC1) Limited (no longer approved here)
FRN 223794
- Employed By (15 Nov 2017 to 4 Jan 2019)
QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (15 Nov 2017 to 4 Jan 2019)
Ashwood Law Wealth Management Ltd (no longer approved here)
FRN 538265
- (6)Employed By (15 Nov 2017 to 4 Jan 2019)

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

21 hours ago
controlled function removed: Employed By at Ashwood Law Wealth Management Ltd
21 hours ago
controlled function added: (6)Employed By at Ashwood Law Wealth Management Ltd

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.