Warren Brian Bath

Last updated
2 weeks ago
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Where they hold approval

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

  • London House Exchange Limited (no longer approved here)

    FRN 613499

    • SMF1 Chief Executive (10 Feb 2021 to 3 Jul 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Mar 2022)
    • SMF3 Executive Director (9 Dec 2019 to 3 Jul 2023)
    • CF11 Money Laundering Reporting (3 Aug 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (31 Mar 2017 to 8 Dec 2019)
    • CF30 Customer (7 Jul 2016 to 8 Dec 2019)
    • CF10a CASS Oversight function (7 Jul 2016 to 8 Dec 2019)
    • CF1 Director (7 Jul 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.