Nicholas John William Hooper

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • INVESTEC INTERNATIONAL PRIVATE OFFICE LIMITED (no longer approved here)

    FRN 780642

    • SMF17 Money Laundering Reporting Officer (MLRO) (28 Mar 2024 to 24 Feb 2026)
    • SMF16 Compliance Oversight (28 Mar 2024 to 24 Feb 2026)
    • [FCA CF] Functions requiring qualifications (10 Aug 2022 to 24 Feb 2026)
    • [FCA CF] Client dealing (1 Apr 2020 to 24 Feb 2026)
    • SMF3 Executive Director (9 Dec 2019 to 24 Feb 2026)
    • CF10 Compliance Oversight (6 Dec 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Dec 2017 to 8 Dec 2019)
    • CF1 Director (15 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (15 Sep 2017 to 8 Dec 2019)
  • XPRIME MARKETS LIMITED (no longer approved here)

    FRN 531771

    • (9)CF1 Director (3 May 2011 to 6 Feb 2012)
    • (8)CF3 Chief Executive (3 May 2011 to 6 Feb 2012)
    • (7)CF10 Compliance Oversight (3 May 2011 to 6 Feb 2012)
    • (6)CF11 Money Laundering Reporting (3 May 2011 to 6 Feb 2012)
    • (5)CF30 Customer (3 May 2011 to 6 Feb 2012)
  • Credo Capital Limited (no longer approved here)

    FRN 192204

    • CF30 Customer (1 Nov 2007 to 31 Dec 2017)
    • CF23 Corporate Finance Adviser (7 Nov 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (24 May 2004 to 31 Oct 2007)
    • CF27 Investment Management (24 May 2004 to 31 Oct 2007)

Recent activity

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

  1. controlled function added: (5)CF30 Customer at XPRIME MARKETS LIMITED

  2. controlled function added: (6)CF11 Money Laundering Reporting at XPRIME MARKETS LIMITED

  3. controlled function added: (7)CF10 Compliance Oversight at XPRIME MARKETS LIMITED

  4. controlled function added: (8)CF3 Chief Executive at XPRIME MARKETS LIMITED

  5. controlled function added: (9)CF1 Director at XPRIME MARKETS LIMITED