Neil Michael Whelan

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.

  • R C Brown Investment Management Plc

    FRN 146002

    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (8 Feb 2023 to 24 Dec 2025)
    • CF11 Money Laundering Reporting (16 Nov 2018 to 8 Dec 2019)
    • CF1 Director (16 Nov 2018 to 8 Dec 2019)
    • CF10a CASS Oversight function (13 Feb 2018 to 8 Dec 2019)
    • CF30 Customer (23 Nov 2016 to 8 Dec 2019)
  • Atomos Investments Limited (no longer approved here)

    FRN 122588

    • CF30 Customer (1 Nov 2007 to 30 Aug 2010)
    • CF27 Investment Management (27 Jul 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.