Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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EEP Advisers Limited
FRN 208120
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Feb 2002 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Feb 2002 to 8 Dec 2019)
- CF23 Corporate Finance Adviser (1 Feb 2002 to 31 Oct 2007)
- CF13 Finance (1 Feb 2002 to 31 Oct 2007)
- CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.