Charles Martin Garthwaite

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.

  • WAY Fund Managers Limited (no longer approved here)

    FRN 194147

    • CF1 Director (9 Oct 2014 to 27 Feb 2015)
    • CF3 Chief Executive (9 Oct 2014 to 27 Feb 2015)
  • Fundrock Partners Limited (no longer approved here)

    FRN 469278

    • CF3 Chief Executive (9 Oct 2014 to 27 Feb 2015)
    • CF1 Director (9 Oct 2014 to 27 Feb 2015)
  • AEGON INVESTMENT SOLUTIONS LTD. (no longer approved here)

    FRN 543123

    • CF1 Director (3 Oct 2011 to 20 Dec 2013)
  • Scottish Equitable Plc (no longer approved here)

    FRN 165548

    • CF11 Money Laundering Reporting (9 Jul 2010 to 8 Apr 2011)
    • CF1 Director (9 Jul 2010 to 20 Dec 2013)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF1 Director (9 Jul 2010 to 8 Dec 2011)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF1 Director (9 Jul 2010 to 16 Dec 2011)
  • Phoenix Life Limited (no longer approved here)

    FRN 110418

    • CF28 Systems and controls (1 Nov 2007 to 31 Jul 2008)
    • CF11 Money Laundering Reporting (4 Apr 2007 to 31 Jul 2008)
    • CF10 Compliance Oversight (17 May 2006 to 31 Jul 2008)
    • CF15 Internal Audit (17 May 2006 to 31 Oct 2007)
    • CF14 Risk Assessment (16 Sep 2005 to 31 Oct 2007)
  • BA (GI) Limited (no longer approved here)

    FRN 117647

    • CF28 Systems and controls (1 Nov 2007 to 31 Jul 2008)
    • CF11 Money Laundering Reporting (4 Apr 2007 to 31 Jul 2008)
    • CF15 Internal Audit (17 May 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (17 May 2006 to 31 Jul 2008)
    • CF14 Risk Assessment (29 Jul 2003 to 17 Feb 2005)
  • Phoenix Group Management Services Limited (no longer approved here)

    FRN 415029

    • CF28 Systems and controls (1 Nov 2007 to 31 Jul 2008)
    • CF11 Money Laundering Reporting (4 Apr 2007 to 31 Jul 2008)
    • CF10 Compliance Oversight (17 May 2006 to 31 Jul 2008)
    • CF15 Internal Audit (17 May 2006 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (4 Jan 2005 to 16 Sep 2005)
    • CF14 Risk Assessment (4 Jan 2005 to 17 Feb 2005)
  • EQUITABLE LIFE ASSURANCE SOCIETY,(THE) (no longer approved here)

    FRN 110340

    • CF14 Risk Assessment (16 Sep 2002 to 16 Jul 2003)
    • CF15 Internal Audit (16 Sep 2002 to 30 Apr 2003)

Recent activity

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

No changes recorded yet.