Gurnaik Singh Johal

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.

  • Atlantic House Group Limited

    FRN 719605

    • [FCA CF] Material risk taker (since 25 Jul 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Aug 2016 to 8 Dec 2019)
  • Atlantic House Investments Limited

    FRN 931264

    • [FCA CF] Material risk taker (since 25 Jul 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
  • Dura Capital Limited (no longer approved here)

    FRN 786640

    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 19 Jan 2022)
    • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2021)
    • CF30 Customer (1 Mar 2018 to 8 Dec 2019)
    • CF1 Director (1 Mar 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2018 to 8 Dec 2019)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 18 Jun 2014)
    • CF21 Investment Adviser (21 Mar 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.