Daniel Wiener

Last updated
6 days ago
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Where they hold approval

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

  • Nekton Capital Limited

    FRN 949119

    • SMF16 Compliance Oversight (since 23 Aug 2021)
    • [FCA CF] Client dealing (since 23 Aug 2021)
    • [FCA CF] Material risk taker (since 23 Aug 2021)
    • SMF3 Executive Director (since 23 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Aug 2021)
  • Lancaster Investment Management LLP (no longer approved here)

    FRN 472385

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Apr 2021)
    • SMF27 Partner (9 Dec 2019 to 1 Apr 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2021)
    • SMF1 Chief Executive (9 Dec 2019 to 1 Apr 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2021)
    • CF11 Money Laundering Reporting (13 Jan 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Jan 2012 to 8 Dec 2019)
    • CF3 Chief Executive (4 Jan 2011 to 8 Dec 2019)
    • CF4 Partner (25 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (25 Oct 2010 to 8 Dec 2019)
  • State Street Trustees Limited (no longer approved here)

    FRN 186237

    • CF1 Director (12 Mar 2010 to 30 Sep 2010)
  • State Street Bank and Trust Company (no longer approved here)

    FRN 170462

    • CF29 Significant management (22 Jan 2010 to 30 Sep 2010)
    • CF8 Apportionment and Oversight (11 Sep 2006 to 31 Mar 2009)
  • State Street Global Markets International Limited (no longer approved here)

    FRN 194525

    • CF8 Apportionment and Oversight (11 Sep 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (24 Oct 2002 to 16 Jul 2007)
    • CF1 Director (1 Dec 2001 to 30 Sep 2010)
    • CF26 Customer Trading (1 Dec 2001 to 24 Oct 2002)

Recent activity

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

No changes recorded yet.