Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Federated Hermes (UK) LLP
FRN 469674
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF21 Investment Adviser
- CF10a CASS Oversight function (23 Jun 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (10 May 2012 to 8 Dec 2019)
- CF10 Compliance Oversight (10 May 2012 to 8 Dec 2019)
- CF30 Customer (22 Nov 2007 to 8 Dec 2019)
- CF4 Partner (22 Nov 2007 to 13 Apr 2012)
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- CF21 Investment Adviser (7 Dec 2004 to 1 Jun 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.