John Wai Kwok Szeto

Last updated
6 days ago
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Where they hold approval

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

  • Capitis Advisors Ltd

    FRN 950004

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Apr 2022)
    • SMF16 Compliance Oversight (since 19 Apr 2022)
  • William O'Neil & Co. Incorporated

    FRN 534569

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (6 Mar 2013 to 8 Dec 2019)
  • CGS International Securities UK Ltd. (no longer approved here)

    FRN 163037

    • CF10 Compliance Oversight (7 Mar 2008 to 13 Sep 2010)
    • CF11 Money Laundering Reporting (7 Mar 2008 to 13 Sep 2010)
    • CF30 Customer (1 Nov 2007 to 13 Sep 2010)
    • CF21 Investment Adviser (31 May 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.