Where they hold approval

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

  • The Bank of Nova Scotia (no longer approved here)

    FRN 141308

    • CF29 Significant management (12 Oct 2012 to 14 Mar 2014)
    • CF3 Chief Executive (11 Nov 2009 to 2 Aug 2010)
    • CF28 Systems and controls (1 Nov 2007 to 14 Mar 2014)
    • CF14 Risk Assessment (2 Jun 2005 to 31 Oct 2007)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF14 Risk Assessment (1 Dec 2001 to 28 Apr 2005)

Recent activity

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

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