Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Investment Services UK Limited
FRN 174730
- [FCA CF] Material risk taker (since 29 Jun 2020)
- [FCA CF] Client dealing (since 29 Jun 2020)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF3 Chief Executive (20 Nov 2006 to 8 Dec 2019)
- CF10 Compliance Oversight (3 Nov 2006 to 8 Dec 2019)
- CF8 Apportionment and Oversight (19 Sep 2006 to 31 Oct 2007)
- CF14 Risk Assessment (20 Dec 2005 to 15 Sep 2006)
- CF11 Money Laundering Reporting (20 Dec 2005 to 8 Dec 2019)
- CF2 Non Executive Director (1 Dec 2001 to 15 Sep 2006)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.