William Wai Leung Mok

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • NGEN Capital Ltd

    FRN 615732

    • 14. Managing investments
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jan 2026)
    • SMF16 Compliance Oversight (since 10 Jan 2026)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jun 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2022)
    • CF11 Money Laundering Reporting (8 May 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 May 2017 to 8 Dec 2019)
    • CF1 Director (8 May 2017 to 8 Dec 2019)
    • CF30 Customer (8 Sep 2014 to 8 Dec 2019)
  • Complete Advice Services Limited

    FRN 624566

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jan 2026)
    • SMF16 Compliance Oversight (since 10 Jan 2026)
    • SMF3 Executive Director (since 18 Jan 2024)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (16 Jul 2008 to 16 Feb 2011)

Recent activity

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

No changes recorded yet.