Charles Alexander Bernd Barnick

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.

  • TCW Europe Limited (no longer approved here)

    FRN 613681

    • [FCA CF] Significant management (16 Aug 2020 to 13 Oct 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (16 Aug 2020 to 4 Aug 2022)
    • SMF16 Compliance Oversight (16 Aug 2020 to 4 Aug 2022)
    • SMF1 Chief Executive (16 Aug 2020 to 13 Oct 2023)
    • [FCA CF] Manager of certification employee (16 Aug 2020 to 13 Oct 2023)
    • SMF3 Executive Director (16 Aug 2020 to 13 Oct 2023)
    • [FCA CF] Client dealing (28 May 2020 to 13 Oct 2023)
  • KROLL SECURITIES LTD. (no longer approved here)

    FRN 466588

    • CF1 Director (AR) (5 Dec 2018 to 3 Feb 2020)
    • CF30 Customer (14 Jul 2017 to 3 Feb 2020)
  • Sturgeon Ventures LLP (no longer approved here)

    FRN 452811

    • CF30 Customer (11 May 2015 to 4 Oct 2017)
    • CF1 Director (AR) (11 May 2015 to 4 Oct 2017)
  • Morningstar Investment Management Europe Limited (no longer approved here)

    FRN 449468

    • CF1 Director (19 Jan 2010 to 30 Sep 2012)
    • CF30 Customer (19 Jan 2010 to 30 Sep 2012)
    • CF3 Chief Executive (19 Jan 2010 to 24 May 2012)
    • CF11 Money Laundering Reporting (19 Jan 2010 to 24 May 2012)
    • CF10 Compliance Oversight (19 Jan 2010 to 24 May 2012)
  • Coronation International Limited (no longer approved here)

    FRN 194231

    • CF3 Chief Executive (29 Apr 2005 to 30 Apr 2009)
    • CF1 Director (29 Apr 2005 to 30 Apr 2009)
    • CF8 Apportionment and Oversight (29 Apr 2005 to 31 Oct 2007)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF22 Investment Adviser (Trainee) (30 Oct 2003 to 22 Feb 2004)

Recent activity

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

No changes recorded yet.