Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Aug 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Aug 2021)
    • CF30 Customer (1 Nov 2007 to 31 Mar 2010)
    • CF21 Investment Adviser (3 May 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 May 2007 to 8 Dec 2019)
    • CF1 Director (AR) (1 May 2007 to 30 Jun 2010)
    • CF11 Money Laundering Reporting (1 May 2007 to 8 Dec 2019)
    • CF1 Director (18 Dec 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (18 Dec 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (18 Dec 2006 to 30 Sep 2018)
  • Solar Financial Associates (no longer approved here)

    FRN 200172

    • (7)Employed By (3 Dec 1999 to 21 Oct 2003)

Recent activity

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

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