Last updated
2 weeks ago
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Where they hold approval

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

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (31 Dec 2014 to 8 Dec 2019)
  • Societe Generale International Limited (no longer approved here)

    FRN 538896

    • CF11 Money Laundering Reporting (5 Sep 2012 to 16 Jan 2015)
    • CF10 Compliance Oversight (20 Apr 2012 to 16 Jan 2015)
  • Cantor Fitzgerald Europe (no longer approved here)

    FRN 149380

    • CF10 Compliance Oversight (8 Feb 2011 to 17 Nov 2011)
    • CF11 Money Laundering Reporting (8 Feb 2011 to 17 Nov 2011)
  • BGC Brokers L.P (no longer approved here)

    FRN 454814

    • CF10 Compliance Oversight (8 Feb 2011 to 17 Nov 2011)
    • CF11 Money Laundering Reporting (8 Feb 2011 to 17 Nov 2011)
  • Renaissance Capital Limited (no longer approved here)

    FRN 186891

    • CF11 Money Laundering Reporting (6 Jun 2008 to 31 Jul 2009)
    • CF10 Compliance Oversight (7 Mar 2007 to 18 May 2007)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF21 Investment Adviser (1 Dec 2001 to 4 Feb 2003)

Recent activity

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

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