David James Lomas

Last updated
1 week ago
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Where they hold approval

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

  • Amberside Capital Ltd

    FRN 706218

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Nov 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2020)
    • CF11 Money Laundering Reporting (17 May 2016 to 8 Dec 2019)
    • CF1 Director (17 May 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 May 2016 to 8 Dec 2019)
    • CF3 Chief Executive (17 May 2016 to 8 Dec 2019)
    • CF30 Customer (17 May 2016 to 8 Dec 2019)
  • BIFM Investments Limited (no longer approved here)

    FRN 511268

    • CF30 Customer (7 Jun 2010 to 8 Oct 2010)
  • Equistone Partners Europe Limited (no longer approved here)

    FRN 124366

    • CF30 Customer (1 Nov 2007 to 7 Jun 2010)
    • CF27 Investment Management (3 Jun 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (24 Nov 2003 to 31 Oct 2007)
  • Australia and New Zealand Banking Group Ltd (no longer approved here)

    FRN 114151

    • CF21 Investment Adviser (1 Dec 2001 to 28 Dec 2001)

Recent activity

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

No changes recorded yet.