Neil Kapoor

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.

  • SHORE CAPITAL STOCKBROKERS LIMITED (no longer approved here)

    FRN 124784

    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Mar 2020)
    • CF10 Compliance Oversight (15 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jul 2019 to 8 Dec 2019)
  • Shore Capital and Corporate Limited (no longer approved here)

    FRN 146629

    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Mar 2020)
    • CF10 Compliance Oversight (15 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jul 2019 to 8 Dec 2019)
  • Puma Investment Management Limited (no longer approved here)

    FRN 590919

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Mar 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Mar 2020)
    • CF10 Compliance Oversight (15 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jul 2019 to 8 Dec 2019)
  • Zeus Capital Limited (no longer approved here)

    FRN 224621

    • CF11 Money Laundering Reporting (21 Feb 2017 to 21 Jan 2019)
    • CF10 Compliance Oversight (21 Feb 2017 to 21 Jan 2019)
  • Fortress Investment Group (UK) Ltd (no longer approved here)

    FRN 434611

    • CF10 Compliance Oversight (15 Dec 2014 to 9 Dec 2016)
    • CF11 Money Laundering Reporting (15 Dec 2014 to 9 Dec 2016)
  • SINGER CAPITAL MARKETS SECURITIES LIMITED (no longer approved here)

    FRN 453676

    • CF10 Compliance Oversight (8 May 2009 to 26 May 2010)
    • CF11 Money Laundering Reporting (8 May 2009 to 26 May 2010)

Recent activity

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

No changes recorded yet.