Last updated
2 weeks ago
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Where they hold approval

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

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Significant management (9 Dec 2019 to 26 Aug 2022)
    • CF10 Compliance Oversight (12 May 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 May 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (12 May 2014 to 30 Sep 2018)
    • CF3 Chief Executive (1 Nov 2009 to 8 Dec 2019)
    • CF1 Director (9 Jan 2004 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (6 Oct 2003 to 30 Dec 2004)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (8 Apr 2014 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (8 Apr 2014 to 8 Dec 2019)
    • CF1 Director (8 Oct 2009 to 8 Dec 2019)
    • CF3 Chief Executive (8 Oct 2009 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.