William Iain Barter

Last updated
1 week ago
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Where they hold approval

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

  • WB ADVISORY LTD

    FRN 838787

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2019 to 8 Dec 2019)
    • CF1 Director (1 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2019 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (9 Apr 2013 to 18 Jul 2014)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (10 Aug 2009 to 31 Dec 2012)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 24 Jul 2009)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.