Kathleen Moir McLeay

Last updated
1 week ago
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Where they hold approval

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

  • NCM Fund Services Limited

    FRN 183732

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (21 Jul 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Dec 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Dec 2009 to 8 Dec 2019)
    • CF1 Director (30 Apr 2009 to 8 Dec 2019)
    • CF3 Chief Executive (30 Apr 2009 to 8 Dec 2019)
  • NCM Depositary Services Limited

    FRN 605659

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jul 2014 to 8 Dec 2019)
    • CF1 Director (15 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jul 2014 to 8 Dec 2019)
    • CF3 Chief Executive (15 Jul 2014 to 8 Dec 2019)
  • NCM Fund Services (England) Limited

    FRN 757495

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF1 Director (18 Aug 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Aug 2017 to 8 Dec 2019)
    • CF3 Chief Executive (18 Aug 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Aug 2017 to 8 Dec 2019)
    • CF30 Customer (18 Aug 2017 to 8 Dec 2019)
  • RM Capital Markets Limited (no longer approved here)

    FRN 562209

    • CF11 Money Laundering Reporting (16 Jan 2012 to 9 Mar 2018)
    • CF10 Compliance Oversight (16 Jan 2012 to 9 Mar 2018)
    • CF1 Director (16 Jan 2012 to 15 Oct 2013)

Recent activity

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

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