Where they hold approval

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

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jun 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2025)
    • CF4 Partner (1 Jun 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (1 Jun 2018 to 8 Dec 2019)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF29 Significant management (24 Aug 2010 to 15 Nov 2010)
    • CF30 Customer (9 Dec 2008 to 15 Nov 2010)

Recent activity

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

No changes recorded yet.