Jonathan Mark Gain

Last updated
2 weeks ago
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Where they hold approval

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

  • Stellar Asset Management Limited

    FRN 474710

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 12 Feb 2024)
    • [FCA CF] Client dealing (since 12 Feb 2024)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 21 Jun 2023)
    • Responsible for Insurance Mediation (29 Jun 2018 to 30 Sep 2018)
    • CF10 Compliance Oversight (20 Feb 2008 to 8 Dec 2019)
    • CF3 Chief Executive (20 Feb 2008 to 8 Dec 2019)
    • CF30 Customer (20 Feb 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (20 Feb 2008 to 31 Mar 2009)
    • CF1 Director (20 Feb 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Feb 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.