Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Nov 2023)
- SMF3 Executive Director (9 Dec 2019 to 6 Nov 2023)
- SMF16 Compliance Oversight (9 Dec 2019 to 6 Nov 2023)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2023)
- Responsible for Insurance Distribution (1 Oct 2018 to 6 Nov 2023)
- CF30 Customer (1 Apr 2010 to 8 Dec 2019)
- CF1 Director (1 Apr 2010 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Apr 2010 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Apr 2010 to 8 Dec 2019)
- Responsible for Insurance Mediation (1 Apr 2010 to 30 Sep 2018)
-
- CF30 Customer (13 Jul 2010 to 1 Sep 2011)
-
- CF30 Customer (1 Nov 2007 to 13 Aug 2010)
- CF21 Investment Adviser (8 May 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (2 Dec 2005 to 8 May 2006)
-
- CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.