Alexander MacLean

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.

  • Aspire Wealth Management Limited (no longer approved here)

    FRN 456262

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Dec 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Aug 2021)
    • SMF3 Executive Director (9 Dec 2019 to 6 Aug 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 6 Aug 2021)
    • CF11 Money Laundering Reporting (3 Jun 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jun 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Mar 2009)
    • CF1 Director (2 Oct 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (2 Oct 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (2 Oct 2006 to 30 Sep 2018)
  • Alan Steel (Asset Management) Limited (no longer approved here)

    FRN 114423

    • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2004)

Recent activity

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

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