Charles Cottam

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.

  • Broadwalk Asset Management LLP

    FRN 475886

    • SMF16 Compliance Oversight (since 12 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Apr 2021)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (26 Feb 2008 to 21 Mar 2016)
    • CF10 Compliance Oversight (26 Feb 2008 to 21 Mar 2016)
    • CF30 Customer (26 Feb 2008 to 8 Dec 2019)
    • CF4 Partner (26 Feb 2008 to 8 Dec 2019)
    • CF3 Chief Executive (26 Feb 2008 to 8 Dec 2019)
  • Panmure Liberum Limited (no longer approved here)

    FRN 403721

    • CF21 Investment Adviser (11 Feb 2005 to 10 Aug 2007)
  • Lazard & Co., Limited (no longer approved here)

    FRN 114054

    • CF21 Investment Adviser (12 Jan 2004 to 6 May 2005)

Recent activity

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

No changes recorded yet.