Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Institutional Investment Advisors Limited
FRN 475344
- SMF16 Compliance Oversight (since 30 Mar 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Mar 2022)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF1 Director (2 Jan 2008 to 8 Dec 2019)
- CF30 Customer (2 Jan 2008 to 8 Dec 2019)
- CF3 Chief Executive (2 Jan 2008 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.