Michael John Sealey

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • ASHENDEN FINANCE (UK) LIMITED

    FRN 717851

    • SMF3 Executive Director (since 29 Jun 2023)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (15 Dec 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Dec 2016 to 8 Dec 2019)
    • CF1 Director (AR) (21 Jun 2016 to 3 Nov 2016)
    • CF30 Customer (21 Jun 2016 to 3 Nov 2016)
  • ASG Capital (UK) Limited (no longer approved here)

    FRN 749562

    • Employed By (21 Jun 2016 to 3 Nov 2016)
  • Stifel Nicolaus Europe Limited (no longer approved here)

    FRN 190412

    • CF30 Customer (18 Jan 2016 to 20 May 2016)
  • GFI Securities Limited (no longer approved here)

    FRN 184801

    • CF30 Customer (16 Jan 2009 to 14 May 2010)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
    • CF29 Significant management (1 Nov 2007 to 30 Nov 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (13 Apr 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (9 Feb 2004 to 31 Oct 2007)

Recent activity

Updates to this individual's record on the FCA register.

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