Rosemary June Bhattacharjee

Last updated
1 week ago
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Where they hold approval

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

  • Praetura Ventures Limited

    FRN 817345

    • SMF16 Compliance Oversight (since 13 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Dec 2024)
  • Mercia Regional Ventures Limited (no longer approved here)

    FRN 183363

    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Jul 2022)
    • CF10 Compliance Oversight (30 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jul 2019 to 8 Dec 2019)
  • Mercia Business Loans Limited (no longer approved here)

    FRN 443560

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Jul 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Nov 2023)
    • CF11 Money Laundering Reporting (25 Apr 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Apr 2019 to 8 Dec 2019)
  • Mercia Fund Management Limited (no longer approved here)

    FRN 524856

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Jun 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Nov 2023)
    • CF10a CASS Oversight function (23 May 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Apr 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Apr 2017 to 8 Dec 2019)
  • IM ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 402770

    • CF10a CASS Oversight function (27 May 2014 to 24 Dec 2015)
    • CF11 Money Laundering Reporting (17 Jan 2014 to 24 Dec 2015)
    • CF10 Compliance Oversight (17 Jan 2014 to 24 Dec 2015)
  • AJ Bell Securities Limited (no longer approved here)

    FRN 155593

    • CF10a CASS Oversight function (1 Oct 2011 to 31 Dec 2013)
    • CF11 Money Laundering Reporting (1 Jul 2011 to 31 Dec 2013)
    • CF10 Compliance Oversight (24 Dec 2009 to 12 May 2010)
  • AJ Bell Management Limited (no longer approved here)

    FRN 211468

    • CF11 Money Laundering Reporting (24 Dec 2009 to 31 Dec 2013)
    • CF10 Compliance Oversight (24 Dec 2009 to 31 Dec 2013)

Recent activity

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

No changes recorded yet.