Julian Morgan Courtney

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Archr LLP

    FRN 617163

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jun 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jun 2018 to 8 Dec 2019)
  • AT Global Markets (UK) Limited

    FRN 760555

    • SMF9 Chair of the Governing Body (since 9 Dec 2019)
    • CF2 Non Executive Director (12 Jul 2018 to 8 Dec 2019)
  • CPT MARKETS UK LIMITED (no longer approved here)

    FRN 606110

    • Director of firm who is not a certification employee or a SMF manager (30 Jan 2023 to 1 Oct 2025)
  • Nanhua Financial (UK) Co Limited (no longer approved here)

    FRN 821609

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2021)
    • CF10a CASS Oversight function (10 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Jun 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Jun 2019 to 8 Dec 2019)
  • JVA Brokers Limited (no longer approved here)

    FRN 826367

    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Dec 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Dec 2023)
  • Northern Trust Securities LLP (no longer approved here)

    FRN 465131

    • CF29 Significant management (30 Aug 2011 to 4 Jul 2012)
    • CF28 Systems and controls (17 Aug 2011 to 4 Jul 2012)
    • CF4 Partner (11 Apr 2011 to 4 Jul 2012)
    • CF11 Money Laundering Reporting (25 Jun 2010 to 4 Aug 2011)
    • CF10 Compliance Oversight (25 Jun 2010 to 4 Aug 2011)
  • Marex Financial (no longer approved here)

    FRN 442767

    • CF30 Customer (1 Apr 2009 to 10 Feb 2010)
    • CF10 Compliance Oversight (13 Jan 2006 to 10 Feb 2010)
    • CF11 Money Laundering Reporting (13 Jan 2006 to 10 Feb 2010)
    • CF1 Director (13 Jan 2006 to 10 Feb 2010)

Recent activity

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

No changes recorded yet.