Where they hold approval

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

    • SMF1 Chief Executive (since 4 Mar 2024)
    • SMF3 Executive Director (since 4 Mar 2024)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF3 Chief Executive (30 Dec 2004 to 1 Jul 2005)
    • CF8 Apportionment and Oversight (30 Dec 2004 to 1 Jul 2005)
    • CF1 Director (1 Dec 2001 to 1 Jul 2005)
    • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 1 Jul 2005)

Recent activity

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

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