Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Piper PE LLP
FRN 502053
- [FCA CF] Client dealing (since 30 Mar 2021)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- CF10a CASS Oversight function (1 Oct 2011 to 17 Mar 2017)
- CF10 Compliance Oversight (31 Jul 2009 to 17 Mar 2017)
- CF4 Partner (31 Jul 2009 to 8 Dec 2019)
- CF30 Customer (31 Jul 2009 to 8 Dec 2019)
- CF11 Money Laundering Reporting (31 Jul 2009 to 17 Mar 2017)
- CF28 Systems and controls (31 Jul 2009 to 8 Dec 2019)
- CF3 Chief Executive (31 Jul 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.