Ajay Shankar Vasdev

Last updated
1 week ago
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Where they hold approval

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

  • Asset Capital Management UK Limited

    FRN 777162

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Dec 2021)
    • SMF16 Compliance Oversight (since 15 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 29 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Mar 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 Dec 2022)
    • CF30 Customer (7 Dec 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Dec 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Dec 2017 to 8 Dec 2019)
    • CF1 Director (7 Dec 2017 to 8 Dec 2019)
  • Zenith Bank (UK) Limited (no longer approved here)

    FRN 451720

    • CF30 Customer (13 Oct 2014 to 6 Nov 2015)
  • TMS Capital Limited (no longer approved here)

    FRN 195581

    • CF30 Customer (23 Jul 2014 to 6 Oct 2014)

Recent activity

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

No changes recorded yet.