Stephen Thomas

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.

  • S.W. MITCHELL CAPITAL LLP

    FRN 434493

    • [FCA CF] Manager of certification employee (since 2 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
    • CF17 Significant Mgt (Other Business Operations) (21 Sep 2005 to 31 Oct 2007)
  • W1M Investment Management Limited (no longer approved here)

    FRN 116404

    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 23 Sep 2005)

Recent activity

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

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