Harish Shah

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.

  • Bentley Reid & Co (UK) Limited

    FRN 572096

    • SMF16 Compliance Oversight (since 15 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Oct 2025)
  • W1M Investment Management Limited (no longer approved here)

    FRN 116404

    • [FCA CF] Significant management (9 Dec 2019 to 22 Nov 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Nov 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Nov 2024)
    • CF29 Significant management (3 Jan 2013 to 8 Dec 2019)
    • CF28 Systems and controls (30 Jul 2012 to 19 Dec 2012)
    • CF11 Money Laundering Reporting (1 Sep 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Sep 2010 to 8 Dec 2019)
  • State Street Bank and Trust Company (no longer approved here)

    FRN 170462

    • CF11 Money Laundering Reporting (6 Mar 2006 to 31 Dec 2008)
    • CF10 Compliance Oversight (6 Mar 2006 to 31 Dec 2008)
  • State Street Global Markets International Limited (no longer approved here)

    FRN 194525

    • CF10 Compliance Oversight (6 Mar 2006 to 31 Dec 2008)
    • CF11 Money Laundering Reporting (6 Mar 2006 to 31 Dec 2008)

Recent activity

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

No changes recorded yet.