Muhammad Usman Adam

Last updated
3 weeks ago
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Where they hold approval

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

  • S A B SECURITIES LIMITED

    FRN 225986

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
    • CF3 Chief Executive (6 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (12 Oct 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (12 Oct 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Oct 2006 to 8 Dec 2019)
    • CF1 Director (24 Jan 2005 to 8 Dec 2019)

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