Andrew John Hicks

Last updated
6 days ago
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Where they hold approval

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

  • WHITMAN ASSET MANAGEMENT LIMITED

    FRN 916792

    • SMF16 Compliance Oversight (since 7 Nov 2022)
  • ZKB Securities (UK) Ltd

    FRN 922650

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Sep 2020)
    • SMF16 Compliance Oversight (since 2 Sep 2020)
  • Bordier & Cie (UK) PLC (no longer approved here)

    FRN 114324

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Mar 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Mar 2022)
    • CF28 Systems and controls (6 Oct 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jul 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jul 2014 to 8 Dec 2019)
  • Blackfriars Asset Management Limited (no longer approved here)

    FRN 180892

    • SMF3 Executive Director (9 Dec 2019 to 6 Mar 2026)
    • CF1 Director (1 Oct 2019 to 8 Dec 2019)
  • Momentum Global Investment Management Limited (no longer approved here)

    FRN 232357

    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Feb 2024)
    • CF10 Compliance Oversight (17 May 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 May 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.