Where they hold approval

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

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • CF3 Chief Executive (14 Jan 2005 to 8 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (21 Oct 2015 to 30 Sep 2018)
    • CF1 Director (21 Oct 2015 to 8 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (19 May 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 May 2016 to 8 Dec 2019)
  • Bernard Maitland Ltd (no longer approved here)

    FRN 694894

    • SMF3 Executive Director (18 Aug 2021 to 1 Apr 2025)
    • [FCA CF] Proprietary trader (22 Oct 2020 to 23 Oct 2020)
    • [FCA CF] CASS oversight function (22 Oct 2020 to 23 Oct 2020)
    • [FCA CF] Client dealing (22 Oct 2020 to 23 Oct 2020)
    • [FCA CF] Manager of certification employee (22 Oct 2020 to 23 Oct 2020)
    • [FCA CF] Material risk taker (22 Oct 2020 to 23 Oct 2020)
    • [FCA CF] Significant management (22 Oct 2020 to 23 Oct 2020)
    • [PRA CF] Significant risk taker or Material risk taker (22 Oct 2020 to 23 Oct 2020)
    • [PRA CF] Managing a material risk taker (22 Oct 2020 to 23 Oct 2020)
    • [PRA CF] Key function holder (22 Oct 2020 to 23 Oct 2020)
    • [FCA CF] Benchmark submission and administration (22 Oct 2020 to 23 Oct 2020)
    • Director of firm who is not a certification employee or a SMF manager (8 Sep 2020 to 9 Sep 2020)
  • Aderia UK Ltd (no longer approved here)

    FRN 536097

    • Employed By (9 Oct 2012 to 30 Jul 2013)

Recent activity

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

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