Stephen Graham Avis

Last updated
2 weeks ago
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Where they hold approval

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

  • Aviva Investors Global Services Limited

    FRN 119178

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (27 Jul 2015 to 8 Dec 2019)
  • Basso Associates UK Limited (no longer approved here)

    FRN 438253

    • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
    • CF27 Investment Management (3 Oct 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (3 Oct 2006 to 31 Dec 2008)
    • CF8 Apportionment and Oversight (16 Dec 2005 to 31 Oct 2007)
    • CF1 Director (16 Dec 2005 to 31 Dec 2008)
    • CF11 Money Laundering Reporting (16 Dec 2005 to 31 Dec 2008)
    • CF21 Investment Adviser (16 Dec 2005 to 31 Oct 2007)
    • CF3 Chief Executive (16 Dec 2005 to 31 Dec 2008)
  • ING Bank N.V. (no longer approved here)

    FRN 124940

    • CF21 Investment Adviser (1 Dec 2001 to 13 Jan 2004)

Recent activity

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

No changes recorded yet.