David Kenneth Maxwell

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.

  • Stonehage Fleming Financial Services Limited (no longer approved here)

    FRN 150118

    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2020)
    • CF11 Money Laundering Reporting (3 Jan 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2018 to 8 Dec 2019)
  • Stonehage Fleming Investment Management Limited (no longer approved here)

    FRN 194382

    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2020)
    • CF10 Compliance Oversight (3 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2018 to 8 Dec 2019)
  • Stonehage Fleming Advisory Limited (no longer approved here)

    FRN 194929

    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2020)
    • CF10 Compliance Oversight (3 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2018 to 8 Dec 2019)
  • STONEHAGE FLEMING WEALTH PLANNING LIMITED (no longer approved here)

    FRN 562235

    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2020)
    • CF10 Compliance Oversight (3 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.