Stephen John Raymond Rumsey

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.

  • Permian Global Advisors LLP

    FRN 556927

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (14 Nov 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Nov 2018 to 8 Dec 2019)
    • CF30 Customer (1 Jun 2012 to 8 Dec 2019)
    • CF4 Partner (1 Jun 2012 to 8 Dec 2019)
    • CF3 Chief Executive (1 Jun 2012 to 8 Dec 2019)
  • Allspring Global Investments (UK) Limited (no longer approved here)

    FRN 190608

    • CF27 Investment Management (1 Dec 2001 to 5 Oct 2005)
    • CF26 Customer Trading (1 Dec 2001 to 5 Oct 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 5 Oct 2005)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 5 Oct 2005)
    • CF1 Director (1 Dec 2001 to 18 Nov 2005)
    • CF3 Chief Executive (1 Dec 2001 to 5 Oct 2005)

Recent activity

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

No changes recorded yet.