Indranil Basu

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.

  • Pearl Diver Capital LLP

    FRN 489934

    • [FCA CF] Client dealing (since 1 Jan 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jun 2021)
    • CF10 Compliance Oversight (21 Jun 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Jun 2011 to 8 Dec 2019)
    • CF3 Chief Executive (8 Jan 2009 to 8 Dec 2019)
    • CF30 Customer (8 Jan 2009 to 8 Dec 2019)
    • CF4 Partner (8 Jan 2009 to 8 Dec 2019)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
    • CF29 Significant management (1 Nov 2007 to 4 Jul 2008)
    • CF21 Investment Adviser (8 Jan 2007 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (8 Jan 2007 to 31 Oct 2007)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF21 Investment Adviser (1 Dec 2001 to 15 Sep 2006)

Recent activity

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

No changes recorded yet.