Stuart Roy Dixon

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.

  • Capricorn Private Investments Limited

    FRN 973321

    • SMF16 Compliance Oversight (since 27 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Mar 2023)
    • SMF3 Executive Director (since 27 Mar 2023)
  • CAPRICORN FUND MANAGERS LIMITED

    FRN 505252

    • [FCA CF] Client dealing (since 19 Jan 2023)
    • Director of firm who is not a certification employee or a SMF manager (since 14 Sep 2020)
  • Capricorn Capital Partners UK Limited

    FRN 748414

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (3 Oct 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2016 to 8 Dec 2019)
  • Bircroft Insurance Services Limited (no longer approved here)

    FRN 310441

    • CF1 Director (19 Aug 2008 to 27 Jan 2010)
    • CF29 Significant management (1 Nov 2007 to 29 Jun 2012)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.