Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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On Field Investment Research LLP
FRN 794740
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF4 Partner (7 Nov 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (7 Nov 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (21 Mar 2018 to 8 Dec 2019)
- CF30 Customer (21 Mar 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.