Steven Matthew Thompson

Last updated
1 month ago
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Where they hold approval

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

  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (188)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Mar 2025)
    • (189)SMF16 Compliance Oversight (9 Dec 2019 to 15 Mar 2025)
    • (190)CF11 Money Laundering Reporting (2 Feb 2015 to 8 Dec 2019)
    • (191)CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (188)SMF17 Money Laundering Reporting Officer (MLRO) at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (189)SMF16 Compliance Oversight at ELLIS BATES WEALTH MANAGEMENT LTD

  3. controlled function added: (190)CF11 Money Laundering Reporting at ELLIS BATES WEALTH MANAGEMENT LTD

  4. controlled function added: (191)CF10 Compliance Oversight at ELLIS BATES WEALTH MANAGEMENT LTD