Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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A.U. Group Brokers Limited
FRN 820771
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Significant management (9 Dec 2019 to 27 Jun 2025)
- CF11 Money Laundering Reporting (12 Jul 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (11 Jul 2019 to 8 Dec 2019)
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- (2)Employed By (6 Jun 2024 to 11 Jul 2024)
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- (2)Employed By (16 May 2024 to 9 Jan 2025)
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- Employed By (24 Oct 2022 to 15 Dec 2025)
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- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Apr 2020)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2020)
- CF11 Money Laundering Reporting (4 Feb 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (4 Feb 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Ardent Global Risks Limited
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controlled function added: (2)Employed By at Ardent Global Risks Limited