Where they hold approval

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

    • 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
    • [FCA CF] Client dealing (since 16 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 13 Oct 2009)
    • CF27 Investment Management (1 Dec 2006 to 31 Oct 2007)

Recent activity

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

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