Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FMR Investment Management (UK) Limited
FRN 476031
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF28 Systems and controls (9 Jan 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (12 Nov 2012 to 8 Dec 2019)
- CF11 Money Laundering Reporting (12 Nov 2012 to 8 Dec 2019)
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- CF28 Systems and controls (1 Nov 2007 to 28 Sep 2012)
- CF1 Director (9 Mar 2004 to 28 Sep 2012)
- CF10 Compliance Oversight (1 Dec 2001 to 28 Sep 2012)
- CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
- CF11 Money Laundering Reporting (1 Dec 2001 to 28 Sep 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.