Malcolm Gordon Proctor

Last updated
2 weeks ago
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Where they hold approval

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

  • KIPPAX FINANCIAL SERVICES LIMITED

    FRN 609819

    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 28 Oct 2016)
    • CF11 Money Laundering Reporting (3 Jan 2014 to 8 Dec 2019)
    • CF1 Director (3 Jan 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2014 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jan 2014 to 30 Sep 2018)
  • First With Mortgages Limited (no longer approved here)

    FRN 408286

    • CF30 Customer (8 Oct 2009 to 18 Mar 2010)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (21 Oct 2008 to 7 Feb 2011)
    • CF1 Director (AR) (27 Dec 2007 to 25 Jun 2024)
  • Advantage Mortgage Services (Yorkshire) Limited (no longer approved here)

    FRN 476899

    • (3)Employed By (27 Dec 2007 to 25 Jun 2024)

Recent activity

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

  1. controlled function removed: Employed By at Advantage Mortgage Services (Yorkshire) Limited

  2. controlled function added: (3)Employed By at Advantage Mortgage Services (Yorkshire) Limited