Sonia Bhasin

Last updated
3 weeks ago
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Where they hold approval

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

  • LumX Asset Management (U.K.) Limited (no longer approved here)

    FRN 195960

    • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 16 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Dec 2019)
    • CF11 Money Laundering Reporting (2 Dec 2016 to 8 Dec 2019)
    • CF1 Director (2 Dec 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Dec 2016 to 8 Dec 2019)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (2 Apr 2009 to 3 Jul 2009)

Recent activity

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

No changes recorded yet.