Ian Stewart Capes

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.

  • MUFG BANK, LTD (no longer approved here)

    FRN 139189

    • SMF16 Compliance Oversight (4 Aug 2016 to 30 Jun 2017)
    • SMF17 Money Laundering Reporting Officer (MLRO) (4 Aug 2016 to 30 Jun 2017)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF28 Systems and controls (1 Nov 2007 to 23 Apr 2009)
    • CF14 Risk Assessment (17 Sep 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (22 Apr 2005 to 23 Apr 2009)
    • CF10 Compliance Oversight (12 Jul 2004 to 23 Apr 2009)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF10 Compliance Oversight (1 Dec 2001 to 9 Jul 2004)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 9 Jul 2004)

Recent activity

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

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