Alastair James Moffatt

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.

  • Tradition (UK) Limited (no longer approved here)

    FRN 139200

    • [FCA CF] Material risk taker (1 Jan 2022 to 22 Jul 2025)
    • SMF4 Chief Risk (9 Dec 2019 to 22 Jul 2025)
    • CF28 Systems and controls (9 Sep 2019 to 8 Dec 2019)
  • TRADITION FINANCIAL SERVICES LTD. (no longer approved here)

    FRN 147543

    • [FCA CF] Material risk taker (1 Jan 2022 to 22 Jul 2025)
    • SMF4 Chief Risk (9 Dec 2019 to 22 Jul 2025)
    • CF28 Systems and controls (9 Sep 2019 to 8 Dec 2019)
  • TRADITION LONDON CLEARING LIMITED (no longer approved here)

    FRN 190632

    • [FCA CF] Material risk taker (1 Jan 2022 to 22 Jul 2025)
    • SMF4 Chief Risk (9 Dec 2019 to 22 Jul 2025)
    • CF28 Systems and controls (9 Sep 2019 to 8 Dec 2019)
  • TFS Derivatives Limited (no longer approved here)

    FRN 197244

    • [FCA CF] Material risk taker (1 Jan 2022 to 22 Jul 2025)
    • SMF4 Chief Risk (9 Dec 2019 to 22 Jul 2025)
    • CF28 Systems and controls (9 Sep 2019 to 8 Dec 2019)
  • TFS VOLBROKER LIMITED (no longer approved here)

    FRN 206018

    • [FCA CF] Material risk taker (1 Jan 2022 to 22 Jul 2025)
    • [FCA CF] Significant management (31 Mar 2021 to 28 Sep 2025)
    • CF28 Systems and controls (9 Sep 2019 to 8 Dec 2019)
  • G.H. FINANCIALS LIMITED (no longer approved here)

    FRN 161807

    • CF11 Money Laundering Reporting (3 Mar 2015 to 30 Nov 2018)
    • CF28 Systems and controls (11 Mar 2013 to 30 Nov 2018)
    • CF29 Significant management (11 Mar 2013 to 30 Nov 2018)
  • COAL PENSION TRUSTEES INVESTMENT LIMITED (no longer approved here)

    FRN 540293

    • CF11 Money Laundering Reporting (1 Jun 2011 to 13 Feb 2013)
    • CF10 Compliance Oversight (1 Jun 2011 to 13 Feb 2013)

Recent activity

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

No changes recorded yet.