Andrew Wallace Neil Banks

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.

  • Union Bancaire Privee, UBP SA

    FRN 147562

    • [FCA CF] Material risk taker (since 9 Sep 2019)
    • SMF16 Compliance Oversight (since 7 Mar 2017)
    • [PRA CF] Significant risk taker or Material risk taker (9 Sep 2019 to 31 May 2024)
    • [FCA CF] CASS oversight function (9 Sep 2019 to 31 May 2024)
    • [FCA CF] Manager of certification employee (9 Sep 2019 to 8 Feb 2022)
    • [FCA CF] Significant management (9 Sep 2019 to 31 May 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2017 to 1 Aug 2022)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • CF10a CASS Oversight function (27 Feb 2014 to 7 May 2014)
    • CF1 Director (15 Oct 2012 to 12 Aug 2016)
    • CF11 Money Laundering Reporting (21 Jun 2011 to 23 Nov 2016)
    • CF10 Compliance Oversight (21 Jun 2011 to 23 Nov 2016)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • CF11 Money Laundering Reporting (9 Dec 2008 to 30 Aug 2010)
    • CF10 Compliance Oversight (9 Dec 2008 to 30 Aug 2010)
    • CF30 Customer (1 Nov 2007 to 3 May 2010)
    • CF28 Systems and controls (1 Nov 2007 to 30 Aug 2010)
    • CF14 Risk Assessment (25 May 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (25 May 2006 to 31 Oct 2007)
  • BELLECAPITAL UK LIMITED (no longer approved here)

    FRN 140948

    • CF14 Risk Assessment (1 Dec 2001 to 13 Jan 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 13 Jan 2006)

Recent activity

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

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