Thomas Jasper Gwyndaf Davies

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • VENTUREBEAM MARKETS LIMITED

    FRN 794918

    • 16. Safeguarding and administering investments or holding client money
    • [FCA CF] Client dealing (since 1 Jan 2026)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 31 Jan 2026)
    • CF10 Compliance Oversight (14 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Mar 2019 to 8 Dec 2019)
    • CF30 Customer (11 Oct 2018 to 8 Dec 2019)
    • CF1 Director (14 May 2018 to 8 Dec 2019)
    • CF10a CASS Oversight function (14 May 2018 to 8 Dec 2019)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF21 Investment Adviser (1 Dec 2001 to 24 Aug 2004)

Recent activity

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

No changes recorded yet.