Stuart Alastair Ferguson Faed

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.

  • GWA Asset Management Ltd

    FRN 960246

    • SMF16 Compliance Oversight (since 9 Aug 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Aug 2022)
    • SMF3 Executive Director (since 8 Aug 2022)
  • Greaves West & Ayre

    FRN 100825

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Feb 2020)
    • CF10 Compliance Oversight (5 Sep 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (10 Sep 2007 to 31 Oct 2007)
    • CF4 Partner (12 Apr 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Apr 2005 to 8 Dec 2019)
  • Three Counties Limited

    FRN 145005

    • SMF3 Executive Director (since 9 Dec 2019)

Recent activity

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

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