Francesco Franzese

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.

  • ARAM CAPITAL LTD

    FRN 712735

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [PRA CF] Key function holder (since 31 Dec 2019)
    • [FCA CF] Significant management (since 31 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 31 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 31 Dec 2019)
    • [FCA CF] Client dealing (since 31 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 31 Dec 2019)
    • [FCA CF] CASS oversight function (since 31 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2016 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2016 to 8 Dec 2019)
    • CF1 Director (1 Apr 2016 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 4 May 2009)
    • CF21 Investment Adviser (4 Jun 2007 to 31 Oct 2007)
  • J.P. Morgan Markets Limited (no longer approved here)

    FRN 114031

    • CF21 Investment Adviser (21 Jul 2004 to 4 Jun 2007)

Recent activity

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

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