Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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National Bank Financial Inc
FRN 124715
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF3 Chief Executive (6 Sep 2012 to 17 Dec 2012)
- CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
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National Bank of Canada
FRN 204681
- SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Mar 2016)
- SMF16 Compliance Oversight (since 7 Mar 2016)
- CF10 Compliance Oversight (6 May 2003 to 6 Mar 2016)
- CF11 Money Laundering Reporting (6 May 2003 to 6 Mar 2016)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.