Michael Andrew Lees

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.

  • Kingfisher Independent Financial Planning LLP

    FRN 562475

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
    • [FCA CF] Client dealing (since 31 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 1 Nov 2017)
    • CF11 Money Laundering Reporting (1 Nov 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Nov 2017 to 30 Sep 2018)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
    • CF4 Partner (3 Jan 2012 to 8 Dec 2019)
  • DIB Insurance Limited (no longer approved here)

    FRN 314116

    • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
    • CF21 Investment Adviser (11 Jan 2007 to 31 Oct 2007)
  • Fairway Independent Financial Advisers (no longer approved here)

    FRN 182704

    • (5)Employed By (18 Jan 2005 to 30 Dec 2005)
  • Fairway Independent Financial Advisers Ltd (no longer approved here)

    FRN 195305

    • (6)Employed By (18 Jan 2005 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 18 Jan 2005)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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