Dominic Mark Trusted

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.

  • NORTHERN LIGHTS ALTERNATIVE ADVISORS LLP

    FRN 493102

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Nov 2022)
    • SMF16 Compliance Oversight (since 7 Nov 2022)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF4 Partner (17 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (17 Oct 2009 to 8 Dec 2019)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 13 May 2008)
    • CF21 Investment Adviser (13 Dec 2006 to 31 Oct 2007)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF21 Investment Adviser (1 Dec 2001 to 25 Oct 2006)

Recent activity

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

No changes recorded yet.