Steven Arthur Woolley

Last updated
1 week ago
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Where they hold approval

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

  • Sova Capital Limited

    FRN 225539

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (13 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Feb 2019 to 8 Dec 2019)
  • Credere Capital LLP (no longer approved here)

    FRN 713367

    • CF11 Money Laundering Reporting (30 Aug 2017 to 26 Oct 2018)
    • CF10 Compliance Oversight (30 Aug 2017 to 26 Oct 2018)
  • TRIUM CAPITAL LLP (no longer approved here)

    FRN 497640

    • CF11 Money Laundering Reporting (22 Jul 2015 to 26 Oct 2018)
    • CF10 Compliance Oversight (22 Jul 2015 to 26 Oct 2018)
  • PineBridge Investments Europe Limited (no longer approved here)

    FRN 122531

    • CF10 Compliance Oversight (24 Jun 2013 to 18 Apr 2014)
    • CF11 Money Laundering Reporting (24 Jun 2013 to 18 Apr 2014)
  • iSwap Euro Limited (no longer approved here)

    FRN 544874

    • CF11 Money Laundering Reporting (15 Nov 2011 to 30 Jan 2013)
    • CF10 Compliance Oversight (15 Nov 2011 to 30 Jan 2013)
  • TP ICAP Markets Limited (no longer approved here)

    FRN 124520

    • CF10a CASS Oversight function (1 Oct 2011 to 30 Jan 2013)
    • CF11 Money Laundering Reporting (25 Sep 2007 to 30 Jan 2013)
    • CF10 Compliance Oversight (25 Sep 2007 to 23 Feb 2011)
  • TP ICAP Global Markets Americas LLC (no longer approved here)

    FRN 549855

    • CF11 Money Laundering Reporting (1 Aug 2011 to 30 Jan 2013)
  • OSTTRA SEF LIMITED (no longer approved here)

    FRN 472944

    • CF11 Money Laundering Reporting (2 Jan 2008 to 30 Jan 2013)
    • CF10 Compliance Oversight (2 Jan 2008 to 23 Feb 2011)
  • TP ICAP MTF LIMITED (no longer approved here)

    FRN 124341

    • CF10 Compliance Oversight (25 Sep 2007 to 23 Feb 2011)
    • CF11 Money Laundering Reporting (25 Sep 2007 to 30 Jan 2013)
  • BROKERTEC EUROPE LIMITED (no longer approved here)

    FRN 161197

    • CF11 Money Laundering Reporting (25 Sep 2007 to 30 Jan 2013)
    • CF10 Compliance Oversight (25 Sep 2007 to 23 Feb 2011)
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Recent activity

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

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