Graham William Alexander Stone

Last updated
3 weeks ago
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Where they hold approval

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

  • Wellington Management International Limited (no longer approved here)

    FRN 208573

    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jun 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jun 2021)
    • CF10 Compliance Oversight (14 May 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 May 2007 to 8 Dec 2019)
  • Morgan Stanley Investment Management (ACD) Limited (no longer approved here)

    FRN 230885

    • CF11 Money Laundering Reporting (12 Feb 2004 to 10 Apr 2007)
    • CF10 Compliance Oversight (12 Feb 2004 to 10 Apr 2007)
  • Morgan Stanley Investment Management Limited (no longer approved here)

    FRN 121920

    • CF10 Compliance Oversight (1 Dec 2001 to 10 Apr 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 10 Apr 2007)

Recent activity

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

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