Nigel Bruce Murdock

Last updated
1 week ago
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Where they hold approval

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

  • Autonomy Wealth Limited

    FRN 827056

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Jan 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jan 2026)
    • Responsibility for MCD Intermediation (5 Nov 2019 to 21 Jan 2026)
    • CF30 Customer (5 Nov 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Nov 2019 to 8 Dec 2019)
    • CF1 Director (5 Nov 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (5 Nov 2019 to 21 Jan 2026)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • CF30 Customer (3 Jun 2015 to 1 Nov 2019)
    • CF1 Director (AR) (3 Jun 2015 to 1 Nov 2019)
  • Autonomy Wealth Ltd (no longer approved here)

    FRN 694886

    • Employed By (19 May 2015 to 1 Nov 2019)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (24 Feb 2015 to 10 Apr 2015)
  • Richard Bamber & Company (Mortgages) Ltd (no longer approved here)

    FRN 308010

    • CF11 Money Laundering Reporting (23 Jan 2006 to 31 Jul 2006)
    • CF10 Compliance Oversight (23 Jan 2006 to 31 Jul 2006)
    • CF24 Pension Transfer Specialist (23 Jan 2006 to 31 Jul 2006)
    • CF21 Investment Adviser (23 Jan 2006 to 31 Jul 2006)
    • CF8 Apportionment and Oversight (21 Jan 2005 to 31 Jul 2006)
    • CF3 Chief Executive (21 Jan 2005 to 31 Jul 2006)
    • CF1 Director (21 Jan 2005 to 31 Jul 2006)
  • Richard Bamber & Company Limited (no longer approved here)

    FRN 222626

    • CF24 Pension Transfer Specialist (21 Jan 2005 to 31 Jul 2006)
    • CF10 Compliance Oversight (21 Jan 2005 to 31 Jul 2006)
    • CF8 Apportionment and Oversight (21 Jan 2005 to 31 Jul 2006)
    • CF3 Chief Executive (21 Jan 2005 to 31 Jul 2006)
    • CF1 Director (21 Jan 2005 to 31 Jul 2006)
    • CF11 Money Laundering Reporting (21 Jan 2005 to 31 Jul 2006)
    • CF21 Investment Adviser (7 Apr 2003 to 31 Jul 2006)

Recent activity

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

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