Where they hold approval

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

    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF1 Chief Executive (9 Dec 2019 to 9 Jun 2021)
    • SMF3 Executive Director (9 Dec 2019 to 9 Jun 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Jun 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 9 Jun 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 9 Jun 2021)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 9 Jun 2021)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
    • CF3 Chief Executive (31 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • Responsible for Insurance Mediation (15 Jan 2013 to 30 Sep 2018)
    • CF30 Customer (15 Jan 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jan 2013 to 8 Dec 2019)
    • CF1 Director (15 Jan 2013 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.