Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Broadwalk Asset Management LLP
FRN 475886
- SMF16 Compliance Oversight (since 23 Feb 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Feb 2024)
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- CF4 Partner (1 Jun 2018 to 25 Sep 2019)
- CF10 Compliance Oversight (1 Jun 2018 to 25 Sep 2019)
- CF11 Money Laundering Reporting (1 Jun 2018 to 25 Sep 2019)
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- CF4 Partner (27 Mar 2014 to 31 Mar 2015)
- CF10 Compliance Oversight (27 Mar 2014 to 31 Mar 2015)
- CF11 Money Laundering Reporting (27 Mar 2014 to 31 Mar 2015)
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- CF28 Systems and controls (1 Nov 2007 to 30 Apr 2011)
- CF4 Partner (6 Feb 2007 to 30 Apr 2011)
- CF10 Compliance Oversight (20 May 2005 to 30 Apr 2011)
- CF11 Money Laundering Reporting (20 May 2005 to 30 Apr 2011)
- CF13 Finance (20 May 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.