Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MILKSTONE LIMITED
FRN 479172
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF10 Compliance Oversight (25 Jun 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (25 Jun 2013 to 8 Dec 2019)
- CF1 Director (1 Jul 2008 to 8 Dec 2019)
- CF30 Customer (1 Jul 2008 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 5 Mar 2008)
- CF1 Director (1 Dec 2001 to 10 Jan 2006)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.