Neil Leslie Lloyd

Last updated
1 week ago
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Where they hold approval

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

  • HAWKSMOOR INVESTMENT MANAGEMENT LIMITED

    FRN 472929

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Nov 2025)
    • SMF16 Compliance Oversight (since 5 Nov 2025)
  • Metis Asset Management Ltd

    FRN 823998

    • SMF16 Compliance Oversight (since 5 Nov 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Nov 2025)
  • JBR Capital Limited (no longer approved here)

    FRN 682493

    • SMF3 Executive Director (19 Jul 2022 to 1 Jan 2025)
    • SMF16 Compliance Oversight (19 Jul 2022 to 1 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (23 Nov 2021 to 1 Jan 2025)
    • [FCA CF] Significant management (12 Aug 2021 to 1 Jan 2025)
  • Premium Credit Limited (no longer approved here)

    FRN 702718

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Jan 2021)
    • CF11 Money Laundering Reporting (27 Jul 2017 to 8 Dec 2019)
  • Tutman LLP (no longer approved here)

    FRN 612721

    • CF11 Money Laundering Reporting (13 Aug 2014 to 26 Nov 2015)
    • CF10 Compliance Oversight (13 Aug 2014 to 15 Sep 2015)
    • CF28 Systems and controls (13 Aug 2014 to 17 May 2016)
  • Thesis Asset Management Limited (no longer approved here)

    FRN 114354

    • CF28 Systems and controls (26 Jul 2013 to 17 May 2016)
    • CF11 Money Laundering Reporting (6 Aug 2012 to 25 Nov 2015)
    • CF10 Compliance Oversight (13 Jun 2012 to 15 Sep 2015)
  • THESIS Unit Trust Management Limited (no longer approved here)

    FRN 186882

    • CF28 Systems and controls (26 Jul 2013 to 17 May 2016)
    • CF11 Money Laundering Reporting (6 Aug 2012 to 26 Nov 2015)
    • CF10 Compliance Oversight (13 Jun 2012 to 15 Sep 2015)

Recent activity

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

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