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- 1. The Financial ServicesRegister (ShPo_HomePage) Home (ShPo_HomePage) > Search results () > Individual Details > Garry Michael Whelan Advanced Search Search by company, person, product, reference number or postcode by business type and current status (h p://www.fca.org.uk/) (h p://www.ba Mr Garry Michael Whelan Controlled functions - current Controlled functions - previous An individual (and some firms) that was previously approved to perform certain tasks in a regulated firm. These individuals and firms would have been described as 'approved persons' and the tasks as 'controlled functions'. Basic Details Controlled functions are the tasks that an individual (and some firms) must be approved for so they can perform them in an authorised firm. --- The FCA have no record for controlled functions associated with this firm or individual. -- History Controlled functions are the tasks that an individual (and some firms) must be approved for so they can perform them in an authorised firm. Status: Inactive (Reference number GMW01071) Financial Conduct Authority https://register.fca.org.uk/ShPo_IndividualDetailsPage?id=003b00000... 1 of 4 01/10/2015 17:50
- 2. Controlled Functions Firm NameStart Date End Date Restriction Suspension / Restriction Start Date CF1 Director Kingswood Law Independent Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfKZ3AA N) 12/04/2002 08/11/2004 CF4 Partner (AR) Sesame Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfGMtAA N) 01/08/2003 19/12/2003 CF4 Partner (AR) Sesame Select Services Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfGypAA F) 01/12/2001 31/07/2003 CF8 Apportionment and Oversight Kingswood Law Independent Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfKZ3AA N) 12/04/2002 08/11/2004 CF10 Compliance Oversight Kingswood Law Independent Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfKZ3AA N) 12/04/2002 08/11/2004 CF11 Money Laundering Reporting Kingswood Law Independent Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfKZ3AA N) 12/04/2002 08/11/2004 CF21 Investment Adviser Kingswood Law IFA Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfdyYAA R) 14/07/2006 31/10/2007 CF21 Investment Adviser Sesame Select Services Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfGypAA F) 01/12/2001 31/07/2003 Financial Conduct Authority https://register.fca.org.uk/ShPo_IndividualDetailsPage?id=003b00000... 2 of 4 01/10/2015 17:50
- 3. Appointed representative relationships- previous Controlled Functions Firm Name Start Date End Date Restriction Suspension / Restriction Start Date CF21 Investment Adviser Sesame Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfGMtAA N) 01/08/2003 19/12/2003 CF21 Investment Adviser Kingswood Law Independent Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfKZ3AA N) 12/04/2002 08/11/2004 CF22 Investment Adviser (Trainee) Personal Touch Financial Services Ltd (/ShPo_FirmDeta ilsPage?id=001b 000000MfINsAA N) 01/12/2005 27/07/2006 CF30 Customer Kingswood Law IFA Limited (/ShPo_FirmDeta ilsPage?id=001b 000000MfdyYAA R) 01/11/2007 31/12/2012 An appointed representative is a firm that can act on behalf of another firm (its ‘principal’) that is authorised by the PRA and/or FCA. A tied agent can act on behalf of another firm (its principal) that is regulated in another country in the European Economic Area (EEA). Appointed representatives and tied agents promote or deal in the products of their principal rather than all products in the market. The principal is responsible for the activities of an appointed representative or tied agent. Firm reference number Name Start Date End Date 192032 FSP Financial Services (FSP) (U660) (/ShPo_FirmDetailsPage?id =001b000000MfIY5AAN) 01/12/2001 19/12/2003 408031 Kingswood Law Ltd (/ShPo_FirmDetailsPage?id =001b000000MfRFtAAN) 07/12/2005 27/07/2006 201520 Moneyfamily Ltd (/ShPo_FirmDetailsPage?id =001b000000MfJsTAAV) 01/12/2005 07/12/2005 Financial Conduct Authority https://register.fca.org.uk/ShPo_IndividualDetailsPage?id=003b00000... 3 of 4 01/10/2015 17:50
- 4. © Financial ConductAuthority Legal information (http://www.fca.org.uk/site-info/legal) / Freedom of information (http://www.fca.org.uk/information) / Privacy Policy statement (http://www.fca.org.uk /privacy) / Contact us (http://www.fca.org.uk/site-info/contact) Financial Conduct Authority https://register.fca.org.uk/ShPo_IndividualDetailsPage?id=003b00000... 4 of 4 01/10/2015 17:50