Hartley Wilson Lumsden

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.

  • Peterkins (no longer approved here)

    FRN 113007

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Jul 2022)
    • SMF27 Partner (9 Dec 2019 to 18 Jul 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 18 Aug 2022)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Jul 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 18 Jul 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 18 Jul 2022)
    • CF10 Compliance Oversight (22 Jun 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jun 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2002)

Recent activity

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

No changes recorded yet.