Where they hold approval

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

  • NEST Invest Limited (no longer approved here)

    FRN 913207

    • SMF3 Executive Director (2 Jan 2020 to 1 Jul 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (2 Jan 2020 to 1 Jul 2025)
    • SMF16 Compliance Oversight (2 Jan 2020 to 1 Jul 2025)
  • Canada Life Limited (no longer approved here)

    FRN 110394

    • CF10 Compliance Oversight (11 Apr 2017 to 29 Oct 2018)
    • CF11 Money Laundering Reporting (11 Apr 2017 to 29 Oct 2018)
  • Canada Life Asset Management Limited (no longer approved here)

    FRN 194570

    • CF11 Money Laundering Reporting (11 Apr 2017 to 29 Oct 2018)
    • CF10 Compliance Oversight (11 Apr 2017 to 29 Oct 2018)
  • Teachers Assurance Company Limited (no longer approved here)

    FRN 202569

    • CF28 Systems and controls (1 Nov 2007 to 4 Nov 2008)
    • CF14 Risk Assessment (8 Mar 2006 to 31 Oct 2007)
    • CF15 Internal Audit (6 Oct 2005 to 8 May 2006)
    • CF11 Money Laundering Reporting (6 Oct 2005 to 4 Nov 2008)
    • CF10 Compliance Oversight (6 Oct 2005 to 4 Nov 2008)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF10 Compliance Oversight (1 Dec 2001 to 31 Dec 2003)

Recent activity

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

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