David Arthur Hazell

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.

  • Santander Financial Services plc (no longer approved here)

    FRN 146003

    • SMF16 Compliance Oversight (26 Apr 2016 to 25 Nov 2016)
    • CF11 Money Laundering Reporting (16 Oct 2013 to 1 Jul 2014)
    • CF10 Compliance Oversight (3 Oct 2012 to 17 Jun 2013)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • SMF16 Compliance Oversight (7 Mar 2016 to 25 Nov 2016)
    • CF11 Money Laundering Reporting (16 Oct 2013 to 1 Jul 2014)
    • CF10 Compliance Oversight (1 Mar 2012 to 6 Mar 2016)
  • Cater Allen Limited (no longer approved here)

    FRN 178737

    • SMF16 Compliance Oversight (7 Mar 2016 to 25 Nov 2016)
    • CF11 Money Laundering Reporting (16 Oct 2013 to 1 Jul 2014)
    • CF10 Compliance Oversight (1 Mar 2012 to 6 Mar 2016)
  • Santander Asset Management UK Limited (no longer approved here)

    FRN 122491

    • CF11 Money Laundering Reporting (16 Oct 2013 to 1 Jul 2014)
    • CF10 Compliance Oversight (1 Mar 2012 to 17 May 2013)
  • Banco Santander, S.A. (no longer approved here)

    FRN 136261

    • CF11 Money Laundering Reporting (16 Oct 2013 to 1 Jul 2014)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF11 Money Laundering Reporting (16 Oct 2013 to 1 Jul 2014)
    • CF10 Compliance Oversight (1 Mar 2012 to 17 May 2013)
  • Aviva Wrap UK Limited (no longer approved here)

    FRN 231530

    • CF10a CASS Oversight function (1 Oct 2011 to 29 Feb 2012)
    • CF10 Compliance Oversight (19 Jul 2010 to 29 Feb 2012)
    • CF11 Money Laundering Reporting (19 Jul 2010 to 29 Feb 2012)
  • Aviva Pension Trustees UK Limited (no longer approved here)

    FRN 465132

    • CF10a CASS Oversight function (1 Oct 2011 to 29 Feb 2012)
    • CF10 Compliance Oversight (19 Jul 2010 to 29 Feb 2012)
    • CF11 Money Laundering Reporting (19 Jul 2010 to 29 Feb 2012)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF11 Money Laundering Reporting (19 Jul 2010 to 10 Jan 2011)
    • CF10 Compliance Oversight (19 Jul 2010 to 10 Jan 2011)
  • Aviva Life & Pensions UK Limited (no longer approved here)

    FRN 185896

    • CF10 Compliance Oversight (19 Jul 2010 to 29 Feb 2012)
    • CF11 Money Laundering Reporting (19 Jul 2010 to 29 Feb 2012)
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Updates to this individual's record on the FCA register.

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