Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- CF10a CASS Oversight function (1 Oct 2011 to 30 Jun 2014)
- CF10 Compliance Oversight (12 Jan 2010 to 30 Jun 2014)
- CF11 Money Laundering Reporting (12 Jan 2010 to 30 Jun 2014)
- CF30 Customer (28 Apr 2008 to 2 May 2019)
- CF8 Apportionment and Oversight (18 Aug 2006 to 31 Mar 2009)
- CF3 Chief Executive (18 Aug 2006 to 2 Sep 2015)
- CF4 Partner (18 Aug 2006 to 2 Sep 2015)
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- CF23 Corporate Finance Adviser (1 Dec 2001 to 13 Feb 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.