Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF1 Chief Executive (9 Dec 2019 to 19 Jun 2024)
- SMF3 Executive Director (9 Dec 2019 to 19 Jun 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Jun 2024)
- SMF16 Compliance Oversight (9 Dec 2019 to 19 Jun 2024)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Jun 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jun 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 19 Jun 2024)
- Responsible for Insurance Distribution (1 Oct 2018 to 19 Jun 2024)
- Responsibility for MCD Intermediation (21 Mar 2016 to 19 Jun 2024)
- Responsible for Insurance Mediation (16 May 2008 to 30 Sep 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (AR) (24 Nov 2004 to 23 May 2023)
- CF1 Director (23 Nov 2004 to 8 Dec 2019)
- CF11 Money Laundering Reporting (23 Nov 2004 to 8 Dec 2019)
- CF10 Compliance Oversight (23 Nov 2004 to 8 Dec 2019)
- CF21 Investment Adviser (23 Nov 2004 to 31 Oct 2007)
- CF8 Apportionment and Oversight (23 Nov 2004 to 31 Mar 2009)
- CF3 Chief Executive (23 Nov 2004 to 8 Dec 2019)
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- Employed By (30 Jul 2009 to 23 May 2023)
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- Employed By (24 Nov 2004 to 23 May 2023)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.