Rory John MacLean

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Where they hold approval

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

Aberforth Unit Trust Managers Ltd
FRN 146788
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (1 May 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 May 2018 to 8 Dec 2019)
- CF10a CASS Oversight function (1 Feb 2018 to 8 Dec 2019)
Aberforth Partners LLP
FRN 435657
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (1 May 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 May 2018 to 8 Dec 2019)
NUCLEUS FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 456117
- CF11 Money Laundering Reporting (24 Jun 2014 to 22 Sep 2017)
- CF10 Compliance Oversight (24 Jun 2014 to 22 Sep 2017)
BlackRock International Limited (no longer approved here)
FRN 178638
- CF10 Compliance Oversight (1 Dec 2001 to 1 Nov 2007)
- CF11 Money Laundering Reporting (1 Dec 2001 to 1 Nov 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.