Gariesh Kumar Sharma

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.

  • Clarity Advice & Management Ltd

    FRN 820107

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 14. Managing investments
    • SMF9 Chair of the Governing Body (since 25 Feb 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (5 Feb 2019 to 8 Dec 2019)
    • CF1 Director (5 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Feb 2019 to 8 Dec 2019)
    • CF3 Chief Executive (5 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (5 Feb 2019 to 8 Dec 2019)
  • Blackfriars Asset Management Limited (no longer approved here)

    FRN 180892

    • CF1 Director (AR) (20 Jan 2017 to 30 Jan 2019)
    • CF11 Money Laundering Reporting (13 Feb 2015 to 6 Dec 2019)
    • CF10 Compliance Oversight (13 Feb 2015 to 6 Dec 2019)
    • CF1 Director (19 Oct 2011 to 6 Dec 2019)
    • CF30 Customer (19 Oct 2011 to 6 Dec 2019)
  • Clarity Advice & Management Ltd (no longer approved here)

    FRN 768362

    • Employed By (9 Jan 2017 to 4 Feb 2019)
  • Soditic Asset Management LLP (no longer approved here)

    FRN 485451

    • CF30 Customer (15 Dec 2008 to 30 Sep 2010)
  • BlackRock Investment Management (UK) Limited (no longer approved here)

    FRN 119293

    • CF27 Investment Management (1 Dec 2001 to 11 Mar 2004)

Recent activity

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

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