Anthony Carmelo Norris

Last updated
2 weeks ago
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Where they hold approval

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

  • Gallium Fund Solutions Limited (no longer approved here)

    FRN 487176

    • SMF1 Chief Executive (9 Dec 2020 to 23 Jul 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Jul 2021)
    • SMF3 Executive Director (9 Dec 2019 to 23 Jul 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 23 Jul 2021)
    • CF10 Compliance Oversight (30 Oct 2014 to 8 Dec 2019)
    • CF10a CASS Oversight function (11 Jun 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 May 2010 to 30 Sep 2018)
    • CF30 Customer (26 Mar 2009 to 8 Dec 2019)
    • CF3 Chief Executive (28 Oct 2008 to 8 Dec 2019)
    • CF29 Significant management (28 Oct 2008 to 12 Aug 2020)
    • CF11 Money Laundering Reporting (28 Oct 2008 to 8 Dec 2019)
    • CF28 Systems and controls (28 Oct 2008 to 12 Aug 2020)
  • Gallium P E Depositary Limited (no longer approved here)

    FRN 612479

    • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2021)
    • SMF1 Chief Executive (9 Dec 2019 to 19 Aug 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jul 2021)
    • CF10a CASS Oversight function (3 Nov 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Nov 2015 to 8 Dec 2019)
    • CF1 Director (14 Jul 2014 to 8 Dec 2019)
    • CF30 Customer (14 Jul 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Jul 2014 to 8 Dec 2019)
    • CF3 Chief Executive (14 Jul 2014 to 8 Dec 2019)

Recent activity

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

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