Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SL Investment Management Limited
FRN 148002
- SMF9 Chair of the Governing Body (since 9 Dec 2019)
- CF2 Non Executive Director (20 Nov 2013 to 8 Dec 2019)
- CF3 Chief Executive (30 Jun 2011 to 20 Nov 2013)
- CF30 Customer (1 Nov 2007 to 20 Nov 2013)
- CF11 Money Laundering Reporting (12 Aug 2002 to 17 Mar 2006)
- CF10 Compliance Oversight (12 Aug 2002 to 17 Mar 2006)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 20 Nov 2013)
- CF8 Apportionment and Oversight (1 Dec 2001 to 5 Dec 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.