Stephen Jonathan Hicks

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.

  • Trinity Street Asset Management LLP (no longer approved here)

    FRN 221438

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Nov 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Nov 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Oct 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Oct 2023)
    • CF11 Money Laundering Reporting (21 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (21 Jul 2014 to 8 Dec 2019)
  • Ashmore Investment Advisors Limited (no longer approved here)

    FRN 611412

    • CF11 Money Laundering Reporting (18 Jul 2014 to 20 Jul 2015)
    • CF10 Compliance Oversight (18 Jul 2014 to 20 Jul 2015)
  • Ashmore Investment Management Limited (no longer approved here)

    FRN 185402

    • CF11 Money Laundering Reporting (31 Aug 2010 to 20 Jan 2014)
    • CF10 Compliance Oversight (31 Aug 2010 to 20 Jan 2014)
  • 3i Investments Plc (no longer approved here)

    FRN 195262

    • CF10 Compliance Oversight (1 Oct 2005 to 20 May 2010)
    • CF11 Money Laundering Reporting (1 Oct 2005 to 20 May 2010)

Recent activity

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

No changes recorded yet.