Russell Stephen Peter Duckworth

Last updated
5 days ago
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Where they hold approval

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

  • Plan with Grace Limited

    FRN 961832

    • SMF16 Compliance Oversight (since 29 Jul 2022)
    • SMF3 Executive Director (since 29 Jul 2022)
  • Hawkwood Capital LLP

    FRN 440946

    • [FCA CF] Client dealing (since 31 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF10 Compliance Oversight (22 Jul 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (24 Jan 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (24 Jan 2006 to 31 Oct 2007)
    • CF27 Investment Management (24 Jan 2006 to 31 Oct 2007)
    • CF3 Chief Executive (24 Jan 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (24 Jan 2006 to 31 Oct 2007)
  • Occam Underwriting Limited (no longer approved here)

    FRN 438721

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 Apr 2021)
    • CF2 Non Executive Director (20 Jan 2016 to 8 Dec 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF21 Investment Adviser (1 Dec 2001 to 2 Dec 2004)

Recent activity

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

No changes recorded yet.