Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Alphaone Partners LLP
FRN 451724
- 17. Administrative functions in relation to managing investments
- [FCA CF] Significant management (since 1 Mar 2020)
- [FCA CF] Functions requiring qualifications (since 1 Mar 2020)
- SMF27 Partner (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- Responsible for Insurance Distribution (1 Oct 2018 to 18 Aug 2020)
- Responsible for Insurance Mediation (30 Apr 2015 to 30 Sep 2018)
- CF11 Money Laundering Reporting (6 Oct 2009 to 8 Dec 2019)
- CF10 Compliance Oversight (6 Oct 2009 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF4 Partner (8 Jun 2006 to 8 Dec 2019)
- CF3 Chief Executive (8 Jun 2006 to 8 Dec 2019)
- CF27 Investment Management (8 Jun 2006 to 31 Oct 2007)
- CF21 Investment Adviser (8 Jun 2006 to 31 Oct 2007)
- CF8 Apportionment and Oversight (8 Jun 2006 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.