Nicholas Michael Hornby

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.

  • Cerno Capital Partners LLP

    FRN 465408

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Feb 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (3 May 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 May 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 May 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 May 2007 to 31 Oct 2007)
    • CF3 Chief Executive (3 May 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 May 2007 to 31 Mar 2009)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF21 Investment Adviser (1 Dec 2001 to 29 Apr 2005)

Recent activity

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

No changes recorded yet.