William Moray Newton Fall

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.

  • Harwoods Limited

    FRN 714708

    • Director of firm who is not a certification employee or a SMF manager (since 17 Aug 2023)
  • AIB GROUP (UK) P.L.C.

    FRN 122088

    • SMF9 Chair of the Governing Body (since 3 Mar 2022)
    • [FCA CF] Material risk taker (1 Oct 2021 to 2 Mar 2022)
  • Citigroup Global Markets Limited

    FRN 124384

    • SMF10 Chair of the Risk Committee (since 18 May 2021)
  • Ambac Assurance UK Limited

    FRN 202924

    • SMF9 Chair of the Governing Body (since 13 May 2020)
  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • SMF13 Chair of the Nominations Committee (10 Oct 2019 to 30 Sep 2020)
    • SMF9 Chair of the Governing Body (7 Mar 2016 to 30 Sep 2020)
    • CF2 Non Executive Director (30 Jan 2015 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF29 Significant management (10 Aug 2011 to 29 Nov 2013)
    • CF30 Customer (11 Mar 2010 to 29 Nov 2013)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF16 Significant Mgt (Desgntd Investment Business) (14 Dec 2004 to 25 Aug 2005)
    • CF3 Chief Executive (21 Jan 2002 to 1 Jun 2006)
    • CF8 Apportionment and Oversight (21 Jan 2002 to 1 Jun 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jun 2006)

Recent activity

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

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