Spencer MacLean

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.

  • BondAuction Primary U.K. Limited

    FRN 985450

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Oct 2024)
    • SMF16 Compliance Oversight (since 17 Oct 2024)
    • SMF1 Chief Executive (since 23 Aug 2023)
  • Standard Chartered Bank (no longer approved here)

    FRN 114276

    • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 8 Apr 2021)
    • [FCA CF] Material risk taker (7 Mar 2016 to 8 Apr 2021)
    • [FCA CF] Client dealing (7 Mar 2016 to 8 Apr 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 23 Mar 2021)
    • CF30 Customer (24 Feb 2010 to 6 Mar 2016)
  • Credit Agricole Corporate and Investment Bank (no longer approved here)

    FRN 124344

    • CF30 Customer (5 May 2009 to 20 Nov 2009)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (1 Nov 2007 to 4 Dec 2008)
    • CF21 Investment Adviser (13 Mar 2007 to 31 Oct 2007)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF21 Investment Adviser (1 Dec 2001 to 12 Feb 2007)

Recent activity

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

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