Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Founding Asset Management Limited
FRN 495794
- 10. Broker fund adviser
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- [PRA CF] Key function holder (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF3 Chief Executive (8 Jun 2009 to 8 Dec 2019)
- CF30 Customer (8 Jun 2009 to 8 Dec 2019)
- CF1 Director (8 Jun 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.