Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Oct 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Oct 2024)
    • CF1 Director (2 Sep 2014 to 8 Dec 2019)
    • CF10a CASS Oversight function (13 Jun 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jun 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2012 to 8 Dec 2019)
  • King & Shaxson Asset Management Limited (no longer approved here)

    FRN 823315

    • SMF3 Executive Director (9 Dec 2019 to 14 Oct 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Oct 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Oct 2024)
    • CF11 Money Laundering Reporting (11 Apr 2019 to 8 Dec 2019)
    • CF1 Director (11 Apr 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Apr 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.