Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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INDUSTRIAL COMMON OWNERSHIP FINANCE LIMITED
FRN 171201
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] CASS oversight function (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10a CASS Oversight function (6 Feb 2012 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (14 Aug 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (14 Aug 2007 to 31 Oct 2007)
- CF27 Investment Management (14 Aug 2007 to 31 Oct 2007)
- CF13 Finance (14 Aug 2007 to 31 Oct 2007)
- CF10 Compliance Oversight (14 Aug 2007 to 8 Dec 2019)
- CF2 Non Executive Director (17 Aug 2002 to 24 Mar 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.