Jonathan James Gerty

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Peel Hunt LLP (no longer approved here)

    FRN 530083

    • [FCA CF] Material risk taker (23 May 2023 to 22 Aug 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (10 Aug 2021 to 22 Aug 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Aug 2025)
    • CF28 Systems and controls (3 Jul 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jul 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jul 2017 to 2 Jul 2018)
  • Puma Investment Management Limited (no longer approved here)

    FRN 590919

    • CF11 Money Laundering Reporting (15 May 2013 to 26 May 2017)
    • CF10 Compliance Oversight (15 May 2013 to 26 May 2017)
  • SHORE CAPITAL STOCKBROKERS LIMITED (no longer approved here)

    FRN 124784

    • CF11 Money Laundering Reporting (5 Mar 2012 to 26 May 2017)
    • CF10 Compliance Oversight (5 Mar 2012 to 26 May 2017)
  • Shore Capital and Corporate Limited (no longer approved here)

    FRN 146629

    • CF10 Compliance Oversight (5 Mar 2012 to 26 May 2017)
    • CF11 Money Laundering Reporting (5 Mar 2012 to 26 May 2017)

Recent activity

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

No changes recorded yet.