David Andrew Oakton

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.

  • Hermes Investment Management Ltd

    FRN 150000

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Feb 2025)
  • Hermes GPE LLP

    FRN 511314

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Feb 2025)
  • UBS Asset Management (UK) Ltd (no longer approved here)

    FRN 119319

    • CF10 Compliance Oversight (9 Mar 2011 to 31 Jul 2013)
    • CF11 Money Laundering Reporting (3 Jan 2007 to 31 Jul 2013)
  • UBS Asset Management Funds Ltd (no longer approved here)

    FRN 141661

    • CF10 Compliance Oversight (9 Mar 2011 to 31 Jul 2013)
    • CF11 Money Laundering Reporting (3 Jan 2007 to 31 Jul 2013)
  • UBS Asset Management Life Ltd (no longer approved here)

    FRN 186527

    • CF10 Compliance Oversight (9 Mar 2011 to 31 Jul 2013)
    • CF11 Money Laundering Reporting (3 Jan 2007 to 31 Jul 2013)

Recent activity

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

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