Paul Davies

Last updated
3 weeks ago
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Where they hold approval

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

  • KINGFURNESS & ASSOCIATES LIMITED

    FRN 232518

    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Feb 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Feb 2024)
    • CF11 Money Laundering Reporting (2 Sep 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Sep 2015 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Jul 2004 to 31 Mar 2009)
    • CF1 Director (1 Jul 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
  • Kingfurness & Associates Limited (no longer approved here)

    FRN 200293

    • (9)Employed By (1 Dec 2001 to 30 Jun 2004)

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

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