Thomas Klan

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.

  • SUMMERSIDE INDEPENDENT LIMITED

    FRN 446821

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Functions requiring qualifications (since 26 Jan 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (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 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (19 Jun 2006 to 31 Oct 2007)
    • CF1 Director (19 Jun 2006 to 8 Dec 2019)
    • CF1 Director (AR) (19 Jun 2006 to 31 Oct 2018)
    • CF10 Compliance Oversight (19 Jun 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Jun 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (19 Jun 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (19 Jun 2006 to 30 Sep 2018)
  • Key Contacts (Independent Financial Services) (no longer approved here)

    FRN 182208

    • (1)Employed By (1 Dec 2001 to 6 Dec 2006)

Recent activity

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

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