Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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TMS Capital Limited
FRN 195581
- SMF1 Chief Executive (since 28 Jan 2025)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (9 Jan 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (9 Jan 2007 to 8 Dec 2019)
- CF14 Risk Assessment (9 Jan 2007 to 31 Oct 2007)
- CF1 Director (31 Jan 2006 to 8 Dec 2019)
- CF27 Investment Management (15 Aug 2005 to 31 Oct 2007)
- CF21 Investment Adviser (25 Jun 2004 to 31 Oct 2007)
- CF26 Customer Trading (25 Jun 2004 to 15 Mar 2006)
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TRENDSIGNAL LIMITED
FRN 950415
- SMF29 Limited scope function (limited scope SMCR firms only) (since 9 May 2022)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.