Sanjay Agarwal

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.

  • The Athena Capital Limited

    FRN 731174

    • [FCA CF] Client dealing (since 1 Apr 2020)
    • [FCA CF] CASS oversight function (since 1 Apr 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF3 Chief Executive (1 Jul 2016 to 8 Dec 2019)
    • CF1 Director (1 Jul 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2016 to 8 Dec 2019)
    • CF10a CASS Oversight function (1 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2016 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2016 to 8 Dec 2019)
  • Elara Capital Plc (no longer approved here)

    FRN 221462

    • CF26 Customer Trading (16 Jan 2006 to 30 Sep 2006)
    • CF21 Investment Adviser (16 Jan 2006 to 30 Sep 2006)
    • CF27 Investment Management (20 Oct 2004 to 30 Sep 2006)
  • Credit Agricole Corporate and Investment Bank (no longer approved here)

    FRN 124344

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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