Carlos Pinto

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.

  • XMS Capital Partners UK Limited

    FRN 610937

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jul 2025)
    • SMF16 Compliance Oversight (since 25 Jul 2025)
    • SMF1 Chief Executive (since 25 Jul 2025)
    • SMF3 Executive Director (since 25 Jul 2025)
    • [FCA CF] Client dealing (since 6 Aug 2024)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • [FCA CF] Client dealing (7 Mar 2017 to 8 Apr 2020)
    • [FCA CF] Material risk taker (7 Mar 2017 to 8 Apr 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (15 Aug 2007 to 31 Oct 2007)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • [FCA CF] Client dealing (7 Mar 2017 to 8 Apr 2020)
    • [FCA CF] Material risk taker (7 Mar 2017 to 8 Apr 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (15 Aug 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.