Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
EFP Capital LLP
FRN 413310
- [FCA CF] Client dealing (since 31 Mar 2021)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (1 May 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 May 2014 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF4 Partner (14 Mar 2005 to 8 Dec 2019)
- CF21 Investment Adviser (14 Mar 2005 to 31 Oct 2007)
- CF13 Finance (14 Mar 2005 to 31 Oct 2007)
- CF3 Chief Executive (14 Mar 2005 to 8 Dec 2019)
- CF8 Apportionment and Oversight (14 Mar 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.