Miles Adam Harkness

Watch for changes

Where they hold approval

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

PICTET ALTERNATIVE ADVISORS (UK) LIMITED
FRN 979550
- SMF16 Compliance Oversight (since 19 Jul 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Jul 2023)
ARDIAN INVESTMENT UK LIMITED (no longer approved here)
FRN 462092
- [FCA CF] Material risk taker (9 Dec 2019 to 28 Feb 2022)
- [FCA CF] Significant management (9 Dec 2019 to 28 Feb 2022)
UBS Asset Management Life Ltd (no longer approved here)
FRN 186527
- SIMF4 Chief Risk Function (7 Mar 2016 to 8 Mar 2018)
- CF28 Systems and controls (5 Mar 2015 to 6 Mar 2016)
UBS Asset Management Funds Ltd (no longer approved here)
FRN 141661
- CF28 Systems and controls (26 Jun 2014 to 8 Mar 2018)
UBS Asset Management (UK) Ltd (no longer approved here)
FRN 119319
- CF28 Systems and controls (20 Mar 2008 to 8 Mar 2018)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.