Derrick Charles Cain

Last updated
3 weeks ago
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Where they hold approval

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

  • Qatar National Bank (Q.P.S.C.) (no longer approved here)

    FRN 139256

    • SMF16 Compliance Oversight (30 Nov 2021 to 15 Nov 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (30 Nov 2021 to 15 Nov 2024)
  • Alpha Bank London Limited (no longer approved here)

    FRN 135327

    • SMF17 Money Laundering Reporting Officer (MLRO) (30 Oct 2017 to 13 Mar 2020)
    • SMF16 Compliance Oversight (30 Oct 2017 to 13 Mar 2020)
  • Julius Baer International Limited (no longer approved here)

    FRN 139179

    • CF10 Compliance Oversight (10 Sep 2015 to 31 Mar 2017)
    • CF11 Money Laundering Reporting (10 Sep 2015 to 31 Mar 2017)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF1 Director (13 Feb 2012 to 31 Jan 2013)
    • CF11 Money Laundering Reporting (13 Feb 2012 to 31 Jan 2013)
    • CF10 Compliance Oversight (13 Feb 2012 to 31 Jan 2013)

Recent activity

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

No changes recorded yet.