Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF3 Executive Director (9 Dec 2019 to 9 Dec 2021)
- CF28 Systems and controls (14 Jul 2017 to 8 Dec 2019)
- CF10a CASS Oversight function (1 Dec 2016 to 8 Dec 2019)
- CF1 Director (10 Aug 2015 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF11 Money Laundering Reporting (25 Oct 2004 to 26 Oct 2016)
- CF10 Compliance Oversight (25 Oct 2004 to 1 Jun 2017)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.