Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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STREAM ASSET MANAGEMENT LTD
FRN 936766
- SMF3 Executive Director (since 15 Mar 2021)
- SMF16 Compliance Oversight (since 15 Mar 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Mar 2021)
- Responsible for Insurance Distribution (25 Nov 2020 to 16 Dec 2020)
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FEAST NOBLE & CO LLP
FRN 490071
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (31 May 2016 to 6 Apr 2021)
- CF30 Customer (3 Aug 2009 to 8 Dec 2019)
- Responsible for Insurance Mediation (3 Aug 2009 to 30 Sep 2018)
- CF10 Compliance Oversight (3 Aug 2009 to 8 Dec 2019)
- CF11 Money Laundering Reporting (3 Aug 2009 to 8 Dec 2019)
- CF4 Partner (3 Aug 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.