Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RSMR Portfolio Services Limited
FRN 788854
- 14. Managing investments
- [FCA CF] Client dealing (since 1 Jan 2022)
- [FCA CF] Material risk taker (since 1 Jan 2022)
- [FCA CF] Functions requiring qualifications (since 1 Jan 2022)
- 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)
- CF10 Compliance Oversight (2 Jan 2018 to 8 Dec 2019)
- CF1 Director (2 Jan 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (2 Jan 2018 to 8 Dec 2019)
- CF3 Chief Executive (2 Jan 2018 to 8 Dec 2019)
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- [FCA CF] Functions requiring qualifications (12 Mar 2021 to 23 Jun 2022)
- [FCA CF] Client dealing (12 Mar 2021 to 23 Jun 2022)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.