Graham Laurence Berg

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Essex Financial Management Limited (no longer approved here)

    FRN 149177

    • [FCA CF] Client dealing (9 Dec 2019 to 9 May 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 May 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 May 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 29 Apr 2022)
    • SMF3 Executive Director (9 Dec 2019 to 29 Apr 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Apr 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 29 Apr 2022)
    • CF4 Partner (AR) (2 Jul 2010 to 4 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (AR) (14 Jan 2005 to 31 Dec 2020)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Wingman Technologies Limited (no longer approved here)

    FRN 690968

    • Employed By (18 Nov 2015 to 3 Aug 2016)
  • EFM Specialist Risks LLP (no longer approved here)

    FRN 504359

    • Employed By (2 Jul 2010 to 31 Dec 2020)
  • Insurance Scheme Solutions Ltd (no longer approved here)

    FRN 417614

    • Employed By (15 Dec 2004 to 31 Dec 2020)
  • Ticketplan Ltd (no longer approved here)

    FRN 409405

    • (1)Employed By (18 Nov 2004 to 31 Dec 2020)

Recent activity

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

  1. controlled function removed: Employed By at Ticketplan Ltd

  2. controlled function added: (1)Employed By at Ticketplan Ltd