Where they hold approval

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

    • SMF29 Limited scope function (limited scope SMCR firms only) (since 5 Jan 2026)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF9 Chair of the Governing Body (11 Apr 2025 to 3 Apr 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Mar 2025)
    • CF30 Customer (30 Sep 2016 to 8 Dec 2019)
    • CF1 Director (30 Sep 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Sep 2016 to 23 Oct 2017)
    • CF3 Chief Executive (30 Sep 2016 to 8 Dec 2019)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 9 Sep 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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