Robert Ash

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.

  • Williams Investment Management LLP (no longer approved here)

    FRN 403210

    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Sep 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Sep 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 19 Sep 2023)
    • SMF27 Partner (9 Dec 2019 to 19 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Feb 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (31 May 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (31 May 2005 to 8 Dec 2019)
    • CF4 Partner (31 May 2005 to 8 Dec 2019)
    • CF27 Investment Management (3 May 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
  • MAUNBY INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 114428

    • CF30 Customer (12 May 2016 to 26 Jun 2018)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF27 Investment Management (29 May 2002 to 14 May 2004)
    • CF21 Investment Adviser (29 May 2002 to 14 May 2004)

Recent activity

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

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