Robin Simon Graham Oliver

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.

  • G.H. FINANCIALS LIMITED (no longer approved here)

    FRN 161807

    • SMF17 Money Laundering Reporting Officer (MLRO) (10 Aug 2023 to 28 Nov 2025)
    • SMF16 Compliance Oversight (10 Aug 2023 to 28 Nov 2025)
  • Daiwa Capital Markets Europe Limited (no longer approved here)

    FRN 124490

    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Jul 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jul 2022)
    • CF11 Money Laundering Reporting (2 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 May 2019 to 8 Dec 2019)
  • TP ICAP MTF LIMITED (no longer approved here)

    FRN 124341

    • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
    • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
  • TP ICAP Markets Limited (no longer approved here)

    FRN 124520

    • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
    • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
  • BROKERTEC EUROPE LIMITED (no longer approved here)

    FRN 161197

    • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
    • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
  • ICAP Global Derivatives Limited (no longer approved here)

    FRN 191757

    • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
    • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
  • OSTTRA SEF LIMITED (no longer approved here)

    FRN 472944

    • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
    • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
  • iSwap Euro Limited (no longer approved here)

    FRN 544874

    • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
    • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
  • TP ICAP Global Markets Americas LLC (no longer approved here)

    FRN 549855

    • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
    • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
  • State Street Global Advisors Limited (no longer approved here)

    FRN 146665

    • CF11 Money Laundering Reporting (26 Sep 2012 to 18 Feb 2013)
    • CF10 Compliance Oversight (8 Dec 2009 to 18 Feb 2013)
    • CF1 Director (1 May 2008 to 1 Jan 2010)
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Recent activity

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