This document provides information on Garry Michael Whelan from the Financial Services Register. It lists his current and previous controlled functions, which are tasks he was approved to perform at various financial firms. It details the firms and dates of his controlled functions. It also lists his previous appointed representative relationships, which are when a firm acts on behalf of another authorized firm.

1. The Financial Services Register (ShPo_HomePage)
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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...
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2. Controlled
Functions Firm Name Start 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...
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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...
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Financial Conduct Authority https://register.fca.org.uk/ShPo_IndividualDetailsPage?id=003b00000...
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