Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- SMF3 Executive Director (9 Dec 2019 to 28 Sep 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Sep 2020)
- SMF16 Compliance Oversight (9 Dec 2019 to 28 Sep 2020)
- Responsible for Insurance Distribution (1 Oct 2018 to 28 Sep 2020)
- Responsibility for MCD Intermediation (21 Mar 2016 to 28 Sep 2020)
- CF11 Money Laundering Reporting (8 Oct 2014 to 8 Dec 2019)
- CF1 Director (8 Oct 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (8 Oct 2014 to 8 Dec 2019)
- CF30 Customer (8 Oct 2014 to 8 Dec 2019)
- Responsible for Insurance Mediation (8 Oct 2014 to 30 Sep 2018)
-
- CF30 Customer (1 Nov 2007 to 30 Sep 2014)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (AR) (1 Dec 2001 to 30 Sep 2014)
-
- Employed By (14 May 2003 to 30 Sep 2014)
-
- Employed By (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.