John Andrew Alexander Nicol

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.

  • RLUM Limited

    FRN 144032

    • SMF16 Compliance Oversight (since 1 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2024)
    • SMF4 Chief Risk (since 1 Apr 2024)
  • Royal London Asset Management Limited

    FRN 141665

    • SMF4 Chief Risk (since 22 Feb 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (14 Aug 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Aug 2018 to 8 Dec 2019)
  • Royal London Unit Trust Managers Limited

    FRN 144037

    • SMF4 Chief Risk (since 22 Feb 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (14 Aug 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Aug 2018 to 8 Dec 2019)
  • BLUE PLANET INVESTMENT MANAGEMENT LTD. (no longer approved here)

    FRN 171195

    • CF10 Compliance Oversight (10 May 2004 to 26 May 2005)
    • CF11 Money Laundering Reporting (10 May 2004 to 26 May 2005)

Recent activity

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

No changes recorded yet.