Clare Orriel

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Windsor Private Office Investment Management Limited

    FRN 781702

    • 14. Managing investments
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 26 Jul 2019)
    • CF11 Money Laundering Reporting (3 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jul 2019 to 8 Dec 2019)
    • CF1 Director (3 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (2 Mar 2018 to 8 Dec 2019)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (17 Jan 2018 to 28 Feb 2018)

Recent activity

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

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