Graham Anthony Slater

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.

  • Haven IFA Limited

    FRN 442847

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Nov 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Nov 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • [PRA CF] Managing a material risk taker (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 10 Dec 2019)
    • CF11 Money Laundering Reporting (26 Mar 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Mar 2008 to 8 Dec 2019)
    • CF1 Director (26 Mar 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Feb 2006 to 31 Oct 2007)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF22 Investment Adviser (Trainee) (6 Mar 2006 to 28 Mar 2006)
  • Haven Independent Financial Advisers Limited (278) (no longer approved here)

    FRN 191424

    • Employed By (16 May 2005 to 28 Mar 2006)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.