Niteen Sharma

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.

  • Clarksons Futures Limited

    FRN 179391

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Apr 2025)
    • SMF16 Compliance Oversight (since 22 Apr 2025)
  • Sigma Broking Limited (no longer approved here)

    FRN 485362

    • SMF16 Compliance Oversight (18 Sep 2024 to 31 Jan 2025)
    • [FCA CF] Material risk taker (18 Sep 2024 to 31 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (18 Sep 2024 to 31 Jan 2025)
  • MarketAxess Europe Limited (no longer approved here)

    FRN 196601

    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2024)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2024)
    • CF10 Compliance Oversight (12 Dec 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Nov 2015 to 8 Dec 2019)
  • MarketAxess Post-Trade Limited (no longer approved here)

    FRN 491843

    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2024)
    • CF10 Compliance Oversight (12 Dec 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Nov 2015 to 8 Dec 2019)
  • MarketAxess Capital Limited (no longer approved here)

    FRN 724949

    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2024)
    • CF10 Compliance Oversight (12 Dec 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jun 2016 to 8 Dec 2019)
  • VARIANCE CAPITAL ASSET MANAGEMENT LLP (no longer approved here)

    FRN 453268

    • CF11 Money Laundering Reporting (15 Jun 2015 to 21 Jul 2015)
  • GFI Securities Limited (no longer approved here)

    FRN 184801

    • CF11 Money Laundering Reporting (19 May 2014 to 23 Jun 2015)
    • CF10 Compliance Oversight (19 May 2014 to 23 Jun 2015)
  • ICE Markets Limited (no longer approved here)

    FRN 211326

    • CF11 Money Laundering Reporting (1 May 2009 to 13 May 2011)
    • CF10 Compliance Oversight (1 May 2009 to 13 May 2011)
  • Creditex Brokerage LLP (no longer approved here)

    FRN 441360

    • CF11 Money Laundering Reporting (27 Sep 2007 to 13 May 2011)
    • CF10 Compliance Oversight (27 Sep 2007 to 13 May 2011)
  • EuroMTS Limited (no longer approved here)

    FRN 188924

    • CF11 Money Laundering Reporting (1 Dec 2006 to 24 Aug 2007)
    • CF10 Compliance Oversight (1 Dec 2006 to 24 Aug 2007)
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Recent activity

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

  1. controlled function added: (51)CF26 Customer Trading at Tradelink Worldwide Limited