Last updated
1 week ago
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Where they hold approval

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

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • SMF3 Executive Director (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (22 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (22 Oct 2010 to 8 Dec 2019)
  • Treble Peak Limited (no longer approved here)

    FRN 747676

    • SMF3 Executive Director (9 Dec 2019 to 13 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Oct 2016 to 8 Dec 2019)
    • CF1 Director (3 Oct 2016 to 8 Dec 2019)

Recent activity

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

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