Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Brooklands Fund Management Limited
FRN 757575
- SMF16 Compliance Oversight (since 12 Feb 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Feb 2024)
- [FCA CF] Client dealing (since 21 Sep 2023)
- [FCA CF] Material risk taker (since 30 May 2022)
- [FCA CF] Manager of certification employee (since 30 May 2022)
- [FCA CF] Significant management (since 19 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 16 Oct 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Oct 2020)
- CF30 Customer (20 Jun 2017 to 8 Dec 2019)
- CF3 Chief Executive (20 Jun 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (20 Jun 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (20 Jun 2017 to 8 Dec 2019)
- CF1 Director (20 Jun 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.