Helen Jane Wake

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.

  • Altorfer Financial Management Limited

    FRN 147392

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 24 Aug 2016)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2020)
    • Responsible for Insurance Mediation (28 Aug 2015 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (6 Aug 2015 to 8 Dec 2019)
    • CF1 Director (1 Mar 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2015 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)

Recent activity

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

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