William Cummins

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.

  • IQ EQ Depositary Company (UK) Limited (no longer approved here)

    FRN 481843

    • [FCA CF] CASS oversight function (9 Dec 2019 to 1 Sep 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Sep 2020)
    • SMF3 Executive Director (9 Dec 2019 to 1 Sep 2020)
    • CF1 Director (6 Sep 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2018 to 8 Dec 2019)
    • CF10a CASS Oversight function (1 Nov 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.