Melville Joseph Kendal

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.

  • M J KENDAL

    FRN 440064

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Sole trader dealing with clients for which they require qualification (since 3 Jan 2020)
    • [FCA CF] Client dealing (since 3 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 3 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (3 Jan 2006 to 31 Oct 2007)
  • Mel Kendal Asset Management (no longer approved here)

    FRN 209778

    • (1)Employed By (13 Feb 2002 to 31 Dec 2005)

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