Stephen Neil Wadey

Last updated
5 days ago
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Where they hold approval

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

  • Afin Bank Limited

    FRN 1004742

    • SMF16 Compliance Oversight (since 18 Oct 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Oct 2024)
  • Verso Wealth Management Limited (no longer approved here)

    FRN 153871

    • SMF16 Compliance Oversight (7 Nov 2023 to 7 Jun 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Nov 2023 to 7 Jun 2024)
  • RECOGNISE BANK LIMITED (no longer approved here)

    FRN 849404

    • SMF17 Money Laundering Reporting Officer (MLRO) (18 Nov 2020 to 10 Mar 2023)
    • SMF16 Compliance Oversight (18 Nov 2020 to 10 Mar 2023)
  • AXA INVESTMENT MANAGERS UK LIMITED (no longer approved here)

    FRN 119368

    • CF10 Compliance Oversight (1 Jul 2014 to 10 Oct 2016)
  • AXA Investment Managers GS Limited (no longer approved here)

    FRN 188523

    • CF10 Compliance Oversight (1 Jul 2014 to 10 Oct 2016)
  • Quilter Investors Limited (no longer approved here)

    FRN 208543

    • CF10 Compliance Oversight (15 Aug 2012 to 9 Feb 2014)
    • CF11 Money Laundering Reporting (15 Aug 2012 to 9 Feb 2014)
  • JUPITER INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 171847

    • CF11 Money Laundering Reporting (5 Oct 2010 to 9 Feb 2014)
    • CF10 Compliance Oversight (5 Oct 2010 to 9 Feb 2014)
  • W1M Investment Management Limited (no longer approved here)

    FRN 116404

    • CF10 Compliance Oversight (17 Apr 2009 to 4 Jun 2010)
    • CF11 Money Laundering Reporting (17 Apr 2009 to 4 Jun 2010)
    • CF29 Significant management (17 Sep 2008 to 20 May 2009)

Recent activity

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

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