Syed Arafat Hussain Shah

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.

  • Haitong Bank, S.A.

    FRN 976699

    • SMF16 Compliance Oversight (since 7 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Jan 2025)
  • North Atlantic Investment Services Limited

    FRN 969870

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Feb 2023)
    • SMF16 Compliance Oversight (since 15 Feb 2023)
  • Harwood Private Equity LLP

    FRN 973442

    • SMF16 Compliance Oversight (since 21 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Dec 2022)
  • Harwood Capital LLP

    FRN 224915

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (6 Nov 2018 to 8 Dec 2019)
    • CF10a CASS Oversight function (6 Nov 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Nov 2018 to 8 Dec 2019)
  • Harwood Private Capital LLP

    FRN 815275

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Feb 2019 to 8 Dec 2019)
  • Haitong International (UK) Limited (no longer approved here)

    FRN 196482

    • SMF16 Compliance Oversight (30 Jun 2023 to 26 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (30 Jun 2023 to 26 Feb 2026)
  • Odyssean Capital LLP (no longer approved here)

    FRN 783925

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Sep 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Sep 2021)
    • CF11 Money Laundering Reporting (4 Jan 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jan 2019 to 8 Dec 2019)

Recent activity

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

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