Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Tethys Advisors Limited
FRN 187769
- [FCA CF] Significant management (since 1 Apr 2020)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (18 May 2005 to 31 Oct 2007)
- CF13 Finance (18 May 2005 to 31 Oct 2007)
- CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.