Where they hold approval

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

  • ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED (no longer approved here)

    FRN 607483

    • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2024)
    • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2024)
    • CF11 Money Laundering Reporting (1 Apr 2014 to 8 May 2014)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
    • CF1 Director (1 Apr 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2014 to 8 May 2014)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF21 Investment Adviser (17 Sep 2002 to 6 Jun 2003)

Recent activity

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

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