Robert Henry Moffett Chaplin

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • NCM Fund Services Limited

    FRN 183732

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (3 Dec 2009 to 8 Dec 2019)
    • CF2 Non Executive Director (4 Jan 2005 to 21 Mar 2006)
    • CF8 Apportionment and Oversight (22 Jul 2004 to 4 Jan 2005)
    • CF1 Director (22 Jul 2004 to 4 Jan 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 25 Nov 2004)
  • RM Capital Markets Limited

    FRN 562209

    • SMF9 Chair of the Governing Body (since 9 Dec 2019)
    • CF2 Non Executive Director (AR) (4 Sep 2017 to 29 Sep 2020)
    • CF2 Non Executive Director (16 Jan 2012 to 8 Dec 2019)
  • NCM Depositary Services Limited

    FRN 605659

    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (15 Jul 2014 to 8 Dec 2019)
  • NCM Fund Services (England) Limited

    FRN 757495

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF30 Customer (18 Aug 2017 to 8 Dec 2019)
    • CF1 Director (18 Aug 2017 to 8 Dec 2019)
  • SINGER CAPITAL MARKETS SECURITIES LIMITED (no longer approved here)

    FRN 453676

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jul 2024)
    • CF2 Non Executive Director (21 Jun 2011 to 8 Dec 2019)
  • Singer Capital Markets Advisory LLP (no longer approved here)

    FRN 568323

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jul 2024)
    • CF2 Non Executive Director (24 Sep 2012 to 8 Dec 2019)
  • Amati Global Investors Limited (no longer approved here)

    FRN 198024

    • CF30 Customer (1 Nov 2007 to 30 Nov 2009)
    • CF28 Systems and controls (1 Nov 2007 to 30 Nov 2009)
    • CF14 Risk Assessment (29 Apr 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (10 Jul 2003 to 31 Oct 2007)
    • CF10 Compliance Oversight (3 Jul 2003 to 10 Jul 2003)
    • CF1 Director (3 Jul 2003 to 30 Nov 2009)
    • CF3 Chief Executive (3 Jul 2003 to 30 Nov 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF2 Non Executive Director (1 Dec 2001 to 3 Jul 2003)

Recent activity

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

No changes recorded yet.