Last updated
1 week ago
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Where they hold approval

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

    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF1 Chief Executive (since 16 Oct 2023)
    • [FCA CF] Manager of certification employee (since 1 Jul 2023)
    • [FCA CF] CASS oversight function (since 1 Jul 2023)
    • [FCA CF] Significant management (since 1 Nov 2022)
    • [FCA CF] Client dealing (since 1 Jul 2021)
    • [PRA CF] Key function holder (since 1 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jun 2021)
  • Panmure Liberum Capital Limited (no longer approved here)

    FRN 465050

    • CF30 Customer (22 Aug 2018 to 8 Dec 2019)

Recent activity

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

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