Nicola Sara Duffey

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.

  • Leo Alexander Wealth & Financial Management Limited (no longer approved here)

    FRN 624042

    • SMF16 Compliance Oversight (9 Dec 2019 to 24 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Sep 2021)
    • CF10 Compliance Oversight (13 Feb 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Feb 2015 to 8 Dec 2019)

Recent activity

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

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