Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Axi Financial Services (UK) Limited
FRN 466201
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (27 Aug 2020 to 17 Jun 2025)
- CF10 Compliance Oversight (5 Oct 2017 to 8 Dec 2019)
- CF10a CASS Oversight function (1 Oct 2011 to 29 Sep 2015)
- CF11 Money Laundering Reporting (25 Feb 2010 to 31 Aug 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.