Alistair Carl Wellmann

Watch for changes

Where they hold approval

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

The Toronto-Dominion Bank
FRN 124859
- SMF3 Executive Director (since 21 May 2025)
- SMF16 Compliance Oversight (since 21 May 2025)
TD Bank Europe Limited
FRN 165556
- SMF16 Compliance Oversight (since 21 May 2025)
TD Execution Services Limited
FRN 472780
- SMF16 Compliance Oversight (since 21 May 2025)
The Bank of Nova Scotia (no longer approved here)
FRN 141308
- SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 2 Jun 2017)
- SMF16 Compliance Oversight (7 Mar 2016 to 2 Jun 2017)
- CF11 Money Laundering Reporting (21 Dec 2012 to 6 Mar 2016)
- CF10 Compliance Oversight (21 Dec 2012 to 6 Mar 2016)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (1 Jul 2002 to 23 Jul 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.