Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Monument Asset Management Limited
FRN 171447
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (27 Jul 2006 to 8 Dec 2019)
- CF8 Apportionment and Oversight (27 Jul 2006 to 31 Oct 2007)
- CF10 Compliance Oversight (27 Jul 2006 to 8 Dec 2019)
- CF27 Investment Management (27 Jul 2006 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
-
Walker Crips Investment Management Limited
FRN 226344
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (26 Oct 2012 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.