Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Laven Advisors LLP
FRN 447282
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2021)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (24 Apr 2006 to 8 Dec 2019)
- CF8 Apportionment and Oversight (24 Apr 2006 to 31 Oct 2007)
- CF4 Partner (24 Apr 2006 to 8 Dec 2019)
- CF10 Compliance Oversight (24 Apr 2006 to 8 Dec 2019)
- CF3 Chief Executive (24 Apr 2006 to 8 Dec 2019)
- CF21 Investment Adviser (24 Apr 2006 to 31 Oct 2007)
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Lumen Asset Management Limited
FRN 839861
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2021)
- CF10 Compliance Oversight (2 Sep 2019 to 8 Dec 2019)
- CF30 Customer (2 Sep 2019 to 8 Dec 2019)
- CF1 Director (2 Sep 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.