Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF16 Compliance Oversight (9 Dec 2019 to 24 Sep 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Sep 2021)
- SMF3 Executive Director (9 Dec 2019 to 24 Sep 2021)
- Responsibility for MCD Intermediation (22 Nov 2016 to 24 Sep 2021)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 2 Nov 2016)
- CF8 Apportionment and Oversight (1 Jul 2004 to 31 Mar 2009)
- CF10 Compliance Oversight (1 Jul 2004 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Jul 2004 to 8 Dec 2019)
- CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
- CF1 Director (1 Jul 2004 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.