Neil Walter Cochrane Simms

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.

  • Clarendon Fund Managers Ltd

    FRN 224974

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (30 Nov 2004 to 31 Oct 2007)
    • CF10 Compliance Oversight (26 Aug 2003 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (26 Aug 2003 to 8 Dec 2019)
    • CF1 Director (26 Aug 2003 to 8 Dec 2019)
  • WhiteRock Capital Partners LLP (no longer approved here)

    FRN 597977

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jun 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Jun 2020)
    • CF10 Compliance Oversight (8 Nov 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Nov 2013 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.