Wayne Pullin

Last updated
6 days ago
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Where they hold approval

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

  • Credo Capital Limited

    FRN 192204

    • [FCA CF] Significant management (since 31 Mar 2025)
    • [FCA CF] Material risk taker (since 31 Mar 2025)
  • BRITANNIA GLOBAL MARKETS LIMITED (no longer approved here)

    FRN 114159

    • SMF17 Money Laundering Reporting Officer (MLRO) (22 May 2023 to 25 Mar 2024)
    • SMF16 Compliance Oversight (22 May 2023 to 25 Mar 2024)
  • Northern Trust Securities LLP (no longer approved here)

    FRN 465131

    • [FCA CF] Significant management (13 Oct 2021 to 20 Dec 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2021)
    • CF10 Compliance Oversight (22 Aug 2019 to 8 Dec 2019)
  • Northern Trust Investor Services Limited (no longer approved here)

    FRN 927658

    • [FCA CF] Significant management (25 May 2021 to 7 Dec 2021)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • [FCA CF] Significant management (21 Jul 2020 to 7 Dec 2021)
  • Stifel Nicolaus Europe Limited (no longer approved here)

    FRN 190412

    • CF11 Money Laundering Reporting (10 Jul 2017 to 9 Mar 2018)
  • Liquidnet Europe Limited (no longer approved here)

    FRN 198039

    • CF10 Compliance Oversight (13 Feb 2012 to 23 Nov 2012)
    • CF11 Money Laundering Reporting (14 Oct 2011 to 21 Jun 2013)

Recent activity

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

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