Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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A.J. Wealth Management Limited
FRN 191874
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- CF28 Systems and controls (15 Mar 2011 to 8 Dec 2019)
- CF10 Compliance Oversight (7 Dec 2010 to 8 Dec 2019)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
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Jellings Dalton Investments Limited
FRN 724139
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (20 Jun 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (20 Jun 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (20 Jun 2016 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.