Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (5 Jan 2009 to 30 Sep 2018)
    • CF1 Director (5 Jan 2009 to 8 Dec 2019)
    • CF30 Customer (5 Jan 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (5 Jan 2009 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (5 Jan 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Jan 2009 to 8 Dec 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2002)

Recent activity

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

No changes recorded yet.