Benjamin David Brooks

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.

  • Chiltern Advisors LLP

    FRN 417447

    • [FCA CF] Significant management (since 1 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (16 Feb 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Feb 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Feb 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (16 Feb 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (16 Feb 2005 to 31 Oct 2007)
  • Absolute Return Partners LLP (no longer approved here)

    FRN 221250

    • CF4 Partner (12 Dec 2007 to 1 May 2009)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF21 Investment Adviser (4 Dec 2003 to 17 Sep 2004)

Recent activity

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

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