Peter Michael Broad

Last updated
3 weeks ago
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Where they hold approval

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

  • Carlton Asset Management Limited (no longer approved here)

    FRN 133693

    • SMF16 Compliance Oversight (23 Sep 2022 to 29 Sep 2023)
    • SMF3 Executive Director (23 Sep 2022 to 29 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (23 Sep 2022 to 29 Sep 2023)
    • [FCA CF] Manager of certification employee (2 Aug 2022 to 29 Sep 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Sep 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2023)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Sep 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 30 Sep 2016)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Sep 2016)
    • CF10 Compliance Oversight (1 Dec 2001 to 30 Sep 2016)

Recent activity

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

No changes recorded yet.