Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Seligman Private Equity Select LLP
FRN 229313
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF13 Finance (26 May 2006 to 31 Oct 2007)
- CF10 Compliance Oversight (18 Apr 2006 to 8 Dec 2019)
- CF11 Money Laundering Reporting (18 Apr 2006 to 8 Dec 2019)
- CF4 Partner (20 Feb 2004 to 8 Dec 2019)
- CF8 Apportionment and Oversight (20 Feb 2004 to 31 Oct 2007)
- CF27 Investment Management (20 Feb 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.