Thomas M Heffernan

Last updated
3 weeks ago
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Where they hold approval

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

  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • CF30 Customer (4 Mar 2015 to 20 Apr 2015)
    • CF29 Significant management (18 Oct 2010 to 7 Feb 2012)
    • CF28 Systems and controls (1 Nov 2007 to 1 Feb 2010)
    • CF11 Money Laundering Reporting (6 Jun 2002 to 1 Sep 2003)
    • CF10 Compliance Oversight (6 Jun 2002 to 1 Sep 2003)
    • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 1 Feb 2010)

Recent activity

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

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