Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Sandham, Davies & Jones Ltd
FRN 229652
- SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Mar 2022)
- SMF16 Compliance Oversight (since 14 Mar 2022)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (21 Mar 2016 to 17 Mar 2020)
- CF30 Customer (1 Nov 2007 to 1 Jun 2009)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF22 Investment Adviser (Trainee) (23 Apr 2004 to 31 Oct 2007)
- CF8 Apportionment and Oversight (23 Apr 2004 to 31 Oct 2007)
- CF1 Director (23 Apr 2004 to 8 Dec 2019)
- CF3 Chief Executive (23 Apr 2004 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.