Roger Alan Lees

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.

  • Principal Real Estate Limited (no longer approved here)

    FRN 564971

    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Aug 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 18 Aug 2021)
    • SMF3 Executive Director (9 Dec 2019 to 18 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Aug 2021)
    • CF1 Director (20 Mar 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Apr 2017 to 8 Dec 2019)
  • Schroder Real Estate Investment Management Limited (no longer approved here)

    FRN 190064

    • CF28 Systems and controls (1 Nov 2007 to 1 Dec 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 1 Dec 2012)
    • CF14 Risk Assessment (13 Jun 2003 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 1 Dec 2012)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 22 Feb 2011)

Recent activity

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

No changes recorded yet.