Where they hold approval

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

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF3 Chief Executive (23 Jun 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Jun 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (23 Jun 2009 to 8 Dec 2019)
    • CF30 Customer (5 Nov 2008 to 8 Dec 2019)
    • CF4 Partner (5 Nov 2008 to 8 Dec 2019)
  • Tail Wind Advisory and Management Limited (no longer approved here)

    FRN 197487

    • CF21 Investment Adviser (17 May 2006 to 1 Jun 2006)
    • CF27 Investment Management (20 Mar 2006 to 1 Jun 2006)
    • CF22 Investment Adviser (Trainee) (21 Mar 2005 to 17 May 2006)

Recent activity

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

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