Ashok Kumar Sharma

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Ragarfield Limited

    FRN 126549

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jun 2004)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Sharmaco Finance Limited

    FRN 703310

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (23 Feb 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (23 Feb 2016 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 30 Dec 2012)
    • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 May 2004 to 17 Nov 2004)
    • CF1 Director (AR) (27 May 2004 to 16 Apr 2020)
  • Anish Sharma Wealth Management Limited (no longer approved here)

    FRN 401058

    • (2)Employed By (27 May 2004 to 16 Apr 2020)

Recent activity

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

  1. controlled function removed: Employed By at Anish Sharma Wealth Management Limited

  2. controlled function added: (2)Employed By at Anish Sharma Wealth Management Limited