Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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WM Thomson & Sons
FRN 131596
- [FCA CF] CASS oversight function (since 31 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
- CF11 Money Laundering Reporting (14 Mar 2011 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF13 Finance (15 Nov 2005 to 31 Oct 2007)
- CF10 Compliance Oversight (6 Sep 2004 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.