Neil Ashley Rothwell

Last updated
2 weeks ago
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Where they hold approval

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

  • Sarkis Limited (no longer approved here)

    FRN 610612

    • SMF3 Executive Director (9 Dec 2019 to 1 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Oct 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2020)
    • CF11 Money Laundering Reporting (19 Dec 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2017 to 8 Dec 2019)
    • CF30 Customer (17 Oct 2014 to 8 Dec 2019)
    • CF1 Director (17 Oct 2014 to 8 Dec 2019)
  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • CF30 Customer (1 May 2013 to 4 Aug 2014)
  • Credit Agricole Corporate and Investment Bank (no longer approved here)

    FRN 124344

    • CF30 Customer (1 Nov 2007 to 22 Nov 2012)
    • CF21 Investment Adviser (16 Jan 2006 to 31 Oct 2007)
  • RWE Trading Services Limited (no longer approved here)

    FRN 208155

    • CF21 Investment Adviser (15 Jan 2004 to 24 Jun 2004)
    • CF1 Director (15 Jan 2004 to 1 Jul 2004)

Recent activity

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

No changes recorded yet.