Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2025)
- [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2025)
- SMF3 Executive Director (9 Dec 2019 to 4 Jul 2024)
- SMF16 Compliance Oversight (9 Dec 2019 to 10 Feb 2021)
- Responsible for Insurance Distribution (1 Oct 2018 to 10 Feb 2021)
- Responsibility for MCD Intermediation (21 Mar 2016 to 13 Dec 2022)
- Responsible for Insurance Mediation (11 Sep 2013 to 30 Sep 2018)
- CF11 Money Laundering Reporting (11 Sep 2013 to 17 Oct 2018)
- CF10 Compliance Oversight (11 Sep 2013 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 3 May 2012)
- CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
- CF13 Finance (4 Jan 2005 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (4 Jan 2005 to 31 Oct 2007)
- CF1 Director (4 Jan 2005 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.