Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Functions requiring qualifications (30 Nov 2020 to 30 Apr 2025)
- [FCA CF] Client dealing (30 Nov 2020 to 30 Apr 2025)
- SMF16 Compliance Oversight (9 Dec 2019 to 28 Apr 2023)
- SMF3 Executive Director (9 Dec 2019 to 28 Apr 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Apr 2023)
- Responsible for Insurance Distribution (1 Oct 2018 to 28 Apr 2023)
- CF30 Customer (18 Nov 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (18 Nov 2013 to 8 Dec 2019)
- CF10 Compliance Oversight (18 Nov 2013 to 8 Dec 2019)
- CF1 Director (18 Nov 2013 to 8 Dec 2019)
- Responsible for Insurance Mediation (18 Nov 2013 to 30 Sep 2018)
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- CF30 Customer (1 Nov 2011 to 28 Nov 2013)
- CF1 Director (1 Nov 2011 to 28 Nov 2013)
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- CF30 Customer (22 Jul 2009 to 30 Sep 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.