Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Oberon Investments Limited
FRN 124885
- 17. Administrative functions in relation to managing investments
- 16. Safeguarding and administering investments or holding client money
- [FCA CF] Functions requiring qualifications (since 10 Jul 2024)
- [FCA CF] Material risk taker (since 10 Jul 2024)
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] CASS oversight function (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (28 Aug 2020 to 29 Apr 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 5 Jun 2020)
- CF10 Compliance Oversight (29 Dec 2017 to 8 Dec 2019)
- CF10a CASS Oversight function (8 Oct 2015 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.