Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Harris Williams & Co. Ltd
FRN 540892
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Jan 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2022)
- CF10 Compliance Oversight (25 Aug 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (25 Aug 2015 to 8 Dec 2019)
- CF3 Chief Executive (3 Jan 2012 to 8 Dec 2019)
- CF1 Director (3 Jan 2012 to 8 Dec 2019)
- CF30 Customer (3 Jan 2012 to 25 Aug 2015)
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- CF30 Customer (1 Dec 2009 to 21 Dec 2011)
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- CF30 Customer (1 Nov 2007 to 30 Apr 2009)
- CF23 Corporate Finance Adviser (14 Nov 2002 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.