Stephen Mapes

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Fundrock Partners Limited (no longer approved here)

    FRN 469278

    • CF10 Compliance Oversight (24 May 2018 to 20 Jun 2019)
  • Bank of London and The Middle East plc (no longer approved here)

    FRN 464292

    • SMF4 Chief Risk (7 Mar 2016 to 12 Apr 2016)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 12 Apr 2016)
    • SMF16 Compliance Oversight (7 Mar 2016 to 12 Apr 2016)
    • CF28 Systems and controls (3 Feb 2016 to 6 Mar 2016)
    • CF11 Money Laundering Reporting (8 Jan 2013 to 6 Mar 2016)
    • CF10 Compliance Oversight (8 Jan 2013 to 6 Mar 2016)
  • Cofunds Limited (no longer approved here)

    FRN 194734

    • CF1 Director (23 Nov 2005 to 1 Apr 2011)
    • CF11 Money Laundering Reporting (29 Jun 2005 to 1 Apr 2011)
    • CF10 Compliance Oversight (29 Jun 2005 to 1 Apr 2011)
  • Schroder Unit Trusts Limited (no longer approved here)

    FRN 197288

    • CF27 Investment Management (1 Dec 2001 to 31 Jul 2002)
    • CF10 Compliance Oversight (1 Dec 2001 to 3 Mar 2003)

Recent activity

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

No changes recorded yet.