Where they hold approval

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

    • SMF27 Partner (since 24 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Aug 2024)
    • SMF16 Compliance Oversight (since 6 Aug 2024)
    • [FCA CF] Significant management (since 29 Apr 2024)
  • VANGUARD INVESTMENTS UK, LIMITED (no longer approved here)

    FRN 494699

    • [FCA CF] Material risk taker (4 Aug 2022 to 1 Jun 2023)
    • [FCA CF] Significant management (14 Dec 2021 to 1 Jun 2023)
    • [FCA CF] Manager of certification employee (14 Dec 2021 to 1 Jun 2023)
  • VANGUARD ASSET MANAGEMENT, LTD. (no longer approved here)

    FRN 527839

    • [FCA CF] Material risk taker (4 Aug 2022 to 1 Jun 2023)
    • [FCA CF] Manager of certification employee (14 Dec 2021 to 1 Jun 2023)
    • [FCA CF] Significant management (14 Dec 2021 to 1 Jun 2023)
  • Goldman Sachs Asset Management International (no longer approved here)

    FRN 147212

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2020)
  • Record Currency Management Limited (no longer approved here)

    FRN 114097

    • CF29 Significant management (7 May 2013 to 27 Nov 2013)
    • CF30 Customer (15 Dec 2010 to 27 Nov 2013)
    • CF10 Compliance Oversight (11 Jul 2007 to 14 Dec 2010)
    • CF1 Director (11 Jul 2007 to 20 Jun 2008)
    • CF11 Money Laundering Reporting (11 Jul 2007 to 14 Dec 2010)

Recent activity

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

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