Nicola Claire Mitford-Slade

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.

  • TUTMAN FUND SOLUTIONS LIMITED (no longer approved here)

    FRN 122401

    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 27 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Jul 2022)
    • CF28 Systems and controls (21 Jun 2018 to 28 Jan 2019)
    • CF10 Compliance Oversight (22 Jun 2015 to 28 Jan 2019)
    • CF11 Money Laundering Reporting (22 Jun 2015 to 8 Dec 2019)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2020 to 13 Jul 2022)
  • HFS Milbourne Financial Services Limited (no longer approved here)

    FRN 125051

    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (19 May 2021 to 13 Jul 2022)
  • Evelyn Partners Investment Services Limited (no longer approved here)

    FRN 131816

    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 27 Nov 2020)
    • SMF4 Chief Risk (21 Jun 2018 to 22 Mar 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 13 Jul 2022)
    • SMF16 Compliance Oversight (7 Mar 2016 to 22 Mar 2019)
    • CF10 Compliance Oversight (22 Jun 2015 to 6 Mar 2016)
    • CF11 Money Laundering Reporting (22 Jun 2015 to 6 Mar 2016)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2020 to 13 Jul 2022)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2020 to 13 Jul 2022)
  • TILNEY DISCRETIONARY PORTFOLIO MANAGEMENT LIMITED (no longer approved here)

    FRN 142989

    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2020 to 13 Jul 2022)
  • Evelyn Partners Discretionary Investment Management Limited (no longer approved here)

    FRN 147103

    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2020 to 13 Jul 2022)
  • Evelyn Partners Investment Management Services Limited (no longer approved here)

    FRN 165169

    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2020 to 13 Jul 2022)
  • HOWDEN FS LIMITED (no longer approved here)

    FRN 180563

    • [FCA CF] Manager of certification employee (13 Jul 2022 to 12 Sep 2022)
    • [FCA CF] Significant management (13 Jul 2022 to 12 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Jul 2022)
    • CF28 Systems and controls (21 Jun 2018 to 28 Jan 2019)
    • CF10 Compliance Oversight (22 Jun 2015 to 28 Jan 2019)
    • CF11 Money Laundering Reporting (22 Jun 2015 to 8 Dec 2019)
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Recent activity

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

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