Robert Rosenberg

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.

  • Heptagon Capital LLP

    FRN 403304

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
    • CF10 Compliance Oversight (6 May 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 May 2009 to 8 Dec 2019)
    • CF30 Customer (6 May 2009 to 8 Dec 2019)
  • Lancaster Investment Management LLP (no longer approved here)

    FRN 472385

    • CF10 Compliance Oversight (23 Jan 2008 to 30 Jan 2009)
    • CF11 Money Laundering Reporting (23 Jan 2008 to 30 Jan 2009)
    • CF30 Customer (12 Dec 2007 to 1 Feb 2009)
    • CF4 Partner (26 Nov 2007 to 1 Feb 2009)

Recent activity

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

No changes recorded yet.