Where they hold approval

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

    • SMF16 Compliance Oversight (since 31 Jul 2023)
    • SMF4 Chief Risk (since 31 Jul 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 Jul 2023)
  • Nottingham Building Society (no longer approved here)

    FRN 200785

    • SMF16 Compliance Oversight (1 Dec 2020 to 31 Jan 2023)
    • [FCA CF] Material risk taker (28 Aug 2018 to 1 Dec 2020)
  • Weatherbys Bank Limited (no longer approved here)

    FRN 204571

    • SMF16 Compliance Oversight (13 Sep 2017 to 24 Aug 2018)
  • Embark Services Limited (no longer approved here)

    FRN 120820

    • CF10 Compliance Oversight (22 Sep 2014 to 30 Apr 2015)
  • BERKELEY, BURKE & COMPANY LIMITED (no longer approved here)

    FRN 115053

    • CF10 Compliance Oversight (6 Jun 2013 to 28 Feb 2014)
    • CF11 Money Laundering Reporting (6 Jun 2013 to 28 Feb 2014)

Recent activity

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

No changes recorded yet.