Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Principal Real Estate Limited
FRN 564971
- SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Jul 2022)
- SMF16 Compliance Oversight (since 12 Jul 2022)
- SMF9 Chair of the Governing Body (since 12 Jul 2022)
- SMF3 Executive Director (since 12 Jul 2022)
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Principal Global Investors (Europe) Limited
FRN 191120
- [FCA CF] Material risk taker (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jan 2025)
- CF10 Compliance Oversight (18 May 2018 to 8 Dec 2019)
- CF11 Money Laundering Reporting (18 May 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.