Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Material risk taker (since 11 Mar 2016)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (18 Aug 2003 to 31 Oct 2007)
  • Standard Chartered Bank (no longer approved here)

    FRN 114276

    • CF21 Investment Adviser (1 Dec 2001 to 11 Jul 2003)

Recent activity

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

No changes recorded yet.