Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Valu-Trac Investment Management Limited
FRN 145168
- [FCA CF] Significant management (since 5 Dec 2023)
- [FCA CF] Material risk taker (since 5 Dec 2023)
- [FCA CF] Manager of certification employee (since 5 Dec 2023)
- [FCA CF] Client dealing (since 19 Aug 2021)
- SMF3 Executive Director (9 Dec 2019 to 4 Dec 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Jul 2023)
- CF11 Money Laundering Reporting (18 May 2016 to 8 Dec 2019)
- CF1 Director (25 Sep 2013 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.