Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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King & Shaxson Limited
FRN 179213
- SMF16 Compliance Oversight (since 7 Oct 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Oct 2025)
- SMF4 Chief Risk (since 7 Oct 2025)
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King & Shaxson Asset Management Limited
FRN 823315
- SMF4 Chief Risk (since 7 Oct 2025)
- SMF16 Compliance Oversight (since 7 Oct 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Oct 2025)
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- SMF16 Compliance Oversight (24 Jul 2024 to 30 Apr 2025)
- SMF4 Chief Risk (24 Jul 2024 to 30 Apr 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (24 Jul 2024 to 30 Apr 2025)
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- SMF4 Chief Risk (2 May 2023 to 27 Mar 2024)
- SMF16 Compliance Oversight (2 May 2023 to 27 Mar 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (2 May 2023 to 27 Mar 2024)
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- SMF17 Money Laundering Reporting Officer (MLRO) (15 Mar 2020 to 1 Feb 2023)
- SMF4 Chief Risk (20 Dec 2018 to 1 Feb 2023)
- SMF16 Compliance Oversight (20 Dec 2018 to 1 Feb 2023)
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- CF10 Compliance Oversight (23 Jun 2015 to 4 Oct 2015)
- CF11 Money Laundering Reporting (23 Jun 2015 to 4 Oct 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.