Amanda Louise Shields

Last updated
3 weeks ago
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Where they hold approval

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

  • LONDON CAPITAL GROUP LIMITED (no longer approved here)

    FRN 182110

    • CF1 Director (28 Apr 2010 to 29 Sep 2010)
    • CF11 Money Laundering Reporting (12 Jan 2010 to 28 Apr 2010)
    • CF10 Compliance Oversight (12 Jan 2010 to 28 Apr 2010)
  • Numis Securities Limited (no longer approved here)

    FRN 144822

    • CF10 Compliance Oversight (5 Aug 2008 to 17 Jul 2009)
    • CF11 Money Laundering Reporting (5 Aug 2008 to 17 Jul 2009)
  • PERSHING SECURITIES LIMITED (no longer approved here)

    FRN 146576

    • CF11 Money Laundering Reporting (3 Feb 2006 to 1 Mar 2006)
    • CF10 Compliance Oversight (10 Oct 2005 to 31 Jul 2008)
  • Credit Agricole Corporate and Investment Bank (no longer approved here)

    FRN 124344

    • CF10 Compliance Oversight (3 May 2004 to 20 Jul 2005)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF10 Compliance Oversight (1 Dec 2001 to 31 Aug 2005)

Recent activity

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

No changes recorded yet.