Alan George Field

Last updated
2 weeks ago
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Where they hold approval

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

  • TAM Asset Management Ltd (no longer approved here)

    FRN 208243

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Dec 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Dec 2022)
    • CF11 Money Laundering Reporting (8 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Feb 2019 to 8 Dec 2019)
  • Old Park Lane Capital Limited (no longer approved here)

    FRN 477870

    • CF11 Money Laundering Reporting (9 Apr 2010 to 12 Dec 2011)
    • CF10 Compliance Oversight (9 Apr 2010 to 12 Dec 2011)
  • Walker Crips Investment Management Limited (no longer approved here)

    FRN 226344

    • CF30 Customer (1 Nov 2007 to 28 Apr 2009)
    • CF10 Compliance Oversight (5 Apr 2004 to 8 Dec 2006)
    • CF11 Money Laundering Reporting (5 Apr 2004 to 26 Mar 2008)
    • CF21 Investment Adviser (5 Apr 2004 to 31 Oct 2007)
  • Keith Bayley Rogers & Co Limited (no longer approved here)

    FRN 197385

    • CF10 Compliance Oversight (29 Jul 2002 to 8 Dec 2006)
    • CF11 Money Laundering Reporting (29 Jul 2002 to 26 Mar 2008)

Recent activity

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

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