Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
J O Hambro Capital Management Limited
FRN 147406
- SMF16 Compliance Oversight (since 1 Aug 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Aug 2023)
- [FCA CF] Material risk taker (9 Dec 2019 to 31 Jul 2023)
- [FCA CF] Significant management (9 Dec 2019 to 31 Jul 2023)
- CF30 Customer (4 Sep 2009 to 29 May 2018)
- CF20 Significant Mgt (Settlements) (24 May 2004 to 30 Jun 2007)
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JOHCM Funds (UK) Limited
FRN 810264
- SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Aug 2023)
- SMF16 Compliance Oversight (since 1 Aug 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2023)
- CF30 Customer (5 Apr 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.