Kwai Yuk Lee Duffin

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Parkmore Financial Services Limited

    FRN 807598

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 5 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 5 Aug 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 26 Nov 2018)
    • CF10 Compliance Oversight (26 Nov 2018 to 8 Dec 2019)
    • CF1 Director (26 Nov 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (26 Nov 2018 to 8 Dec 2019)
    • CF30 Customer (26 Nov 2018 to 8 Dec 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (28 Mar 2011 to 12 Feb 2018)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (5 Jan 2009 to 3 Mar 2011)
    • CF21 Investment Adviser (30 Dec 2005 to 31 Oct 2007)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF21 Investment Adviser (8 Jan 2002 to 19 Sep 2005)

Recent activity

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

No changes recorded yet.