Stephen William Cooke

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Yealand Fund Services Limited (no longer approved here)

    FRN 530809

    • SMF1 Chief Executive (6 Feb 2021 to 7 Jun 2021)
    • SMF3 Executive Director (6 Feb 2021 to 31 Dec 2021)
    • [FCA CF] Functions requiring qualifications (22 Dec 2020 to 31 Dec 2021)
    • [FCA CF] Client dealing (22 Dec 2020 to 31 Dec 2021)
    • CF2 Non Executive Director (29 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (17 Jul 2014 to 29 Jun 2018)
    • CF10 Compliance Oversight (25 Jun 2014 to 29 Jun 2018)
    • CF1 Director (26 Apr 2011 to 29 Jun 2018)
    • CF3 Chief Executive (26 Apr 2011 to 14 Oct 2015)
  • MT Capital Management Limited (no longer approved here)

    FRN 623887

    • [FCA CF] Significant management (9 Dec 2019 to 25 Jan 2023)
    • SMF1 Chief Executive (9 Dec 2019 to 16 Jan 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2023)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2023)
    • CF11 Money Laundering Reporting (17 Oct 2017 to 8 Dec 2019)
    • CF3 Chief Executive (28 Jan 2015 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2014 to 8 Dec 2019)
    • CF1 Director (1 Jul 2014 to 8 Dec 2019)
  • Link Fund Solutions Limited (no longer approved here)

    FRN 119197

    • CF1 Director (17 Jan 2006 to 31 May 2006)
    • CF3 Chief Executive (1 Dec 2001 to 1 Jan 2006)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Jan 2006)
  • WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED (no longer approved here)

    FRN 121795

    • (102)CF1 Director (17 Jan 2006 to 31 May 2006)
    • (101)CF3 Chief Executive (1 Dec 2001 to 1 Jan 2006)
    • (100)CF8 Apportionment and Oversight (1 Dec 2001 to 1 Jan 2006)

Recent activity

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

  1. controlled function added: (100)CF8 Apportionment and Oversight at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED

  2. controlled function added: (101)CF3 Chief Executive at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED

  3. controlled function added: (102)CF1 Director at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED