Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RFC AMBRIAN LIMITED
FRN 209819
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF11 Money Laundering Reporting (10 Oct 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (10 Oct 2007 to 8 Dec 2019)
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GIRA Strategic Finance Limited
FRN 713915
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (30 Dec 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (30 Dec 2015 to 8 Dec 2019)
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Above Wealth Management LLP
FRN 714242
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (1 Jun 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Jun 2016 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.