Stuart Paul Griffiths

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Close Brothers Limited (no longer approved here)

    FRN 124750

    • SMF16 Compliance Oversight (16 Apr 2020 to 27 Jul 2021)
  • NOVITAS LOANS LIMITED (no longer approved here)

    FRN 716962

    • (31)SMF16 Compliance Oversight (16 Apr 2020 to 27 Jul 2021)
  • ICG Alternative Investment Limited (no longer approved here)

    FRN 606186

    • CF1 Director (10 Apr 2014 to 5 Sep 2019)
    • CF10 Compliance Oversight (10 Apr 2014 to 5 Sep 2019)
    • CF11 Money Laundering Reporting (10 Apr 2014 to 5 Sep 2019)
  • ICG MANAGER LIMITED (no longer approved here)

    FRN 189955

    • CF10 Compliance Oversight (18 Jun 2012 to 5 Sep 2019)
    • CF11 Money Laundering Reporting (29 Mar 2011 to 5 Sep 2019)
  • PIMCO Europe Ltd (no longer approved here)

    FRN 149303

    • CF11 Money Laundering Reporting (8 Jan 2007 to 13 Feb 2009)
    • CF10 Compliance Oversight (8 Jan 2007 to 13 Feb 2009)

Recent activity

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

  1. controlled function added: (31)SMF16 Compliance Oversight at NOVITAS LOANS LIMITED