Where they hold approval

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

    • SMF3 Executive Director (since 25 Nov 2021)
    • SMF16 Compliance Oversight (since 25 Nov 2021)
    • SMF1 Chief Executive (since 25 Nov 2021)
    • SMF16 Compliance Oversight (since 26 Aug 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (8 Jan 2013 to 17 Jul 2013)
    • CF10 Compliance Oversight (8 Jan 2013 to 17 Jul 2013)
    • CF30 Customer (8 Jan 2013 to 8 Dec 2019)
    • CF4 Partner (8 Jan 2013 to 8 Dec 2019)
  • BMO Capital Markets Limited (no longer approved here)

    FRN 170937

    • CF1 Director (12 Apr 2010 to 20 Feb 2012)
    • CF29 Significant management (17 Feb 2010 to 20 Feb 2012)
  • Bank of Montreal (no longer approved here)

    FRN 124788

    • CF29 Significant management (20 Nov 2008 to 20 Feb 2012)
    • CF30 Customer (1 Nov 2007 to 20 Feb 2012)
    • CF21 Investment Adviser (1 Nov 2002 to 31 Oct 2007)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.