Pedro Sergio Bastos Pinto

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.

  • SHORE CAPITAL STOCKBROKERS LIMITED

    FRN 124784

    • SMF3 Executive Director (since 3 Nov 2022)
    • SMF16 Compliance Oversight (since 26 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Jun 2020)
  • Shore Capital and Corporate Limited

    FRN 146629

    • SMF3 Executive Director (since 3 Nov 2022)
    • SMF16 Compliance Oversight (since 26 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Jun 2020)
  • Puma Investment Management Limited (no longer approved here)

    FRN 590919

    • SMF17 Money Laundering Reporting Officer (MLRO) (26 Jun 2020 to 7 Jun 2021)
    • SMF16 Compliance Oversight (26 Jun 2020 to 7 Jun 2021)
  • William Blair International, Ltd (no longer approved here)

    FRN 189068

    • CF10 Compliance Oversight (1 Aug 2011 to 7 Nov 2019)
    • CF11 Money Laundering Reporting (1 Aug 2011 to 7 Nov 2019)
  • Peel Hunt LLP (no longer approved here)

    FRN 530083

    • CF10 Compliance Oversight (13 Dec 2010 to 18 May 2011)
    • CF11 Money Laundering Reporting (13 Dec 2010 to 18 May 2011)

Recent activity

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

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