Nicola Claire Mitford-Slade

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • S&W Partners Corporate Finance Limited (no longer approved here)

    FRN 216729

    • [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)
    • CF11 Money Laundering Reporting (22 Jun 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jun 2015 to 28 Jan 2019)
  • Evelyn Partners Asset Management Limited (no longer approved here)

    FRN 223074

    • [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 Investment Management LLP (no longer approved here)

    FRN 580531

    • [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) (9 Dec 2019 to 13 Jul 2022)
    • CF28 Systems and controls (21 Jun 2018 to 28 Jan 2019)
    • CF11 Money Laundering Reporting (22 Jun 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jun 2015 to 28 Jan 2019)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • CF11 Money Laundering Reporting (2 Nov 2012 to 27 Mar 2015)
    • CF10 Compliance Oversight (2 Nov 2012 to 27 Mar 2015)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF10 Compliance Oversight (26 Mar 2012 to 27 Mar 2015)
    • CF11 Money Laundering Reporting (26 Mar 2012 to 27 Mar 2015)
  • William O'Neil & Co. Incorporated (no longer approved here)

    FRN 534569

    • CF11 Money Laundering Reporting (1 Apr 2011 to 6 Jan 2012)
  • ING Bank N.V. (no longer approved here)

    FRN 124940

    • CF23 Corporate Finance Adviser (29 Jan 2002 to 12 Jun 2002)

Recent activity

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

No changes recorded yet.