Jamie Smith-Thompson

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • HARBOUR ROCK CAPITAL LIMITED (no longer approved here)

    FRN 754580

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Apr 2023)
    • SMF3 Executive Director (9 Dec 2019 to 14 Apr 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2023)
    • CF10 Compliance Oversight (24 Feb 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Feb 2017 to 8 Dec 2019)
    • CF30 Customer (24 Feb 2017 to 8 Dec 2019)
    • CF1 Director (24 Feb 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.