Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Client dealing (16 May 2023 to 31 Jan 2024)
- [FCA CF] Material risk taker (26 Sep 2022 to 11 Jun 2024)
- [FCA CF] Significant management (11 May 2022 to 31 Jan 2024)
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- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Dec 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 23 Dec 2021)
- Responsible for Insurance Distribution (2 Oct 2019 to 23 Dec 2021)
- CF10 Compliance Oversight (18 Sep 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (18 Sep 2019 to 8 Dec 2019)
- CF28 Systems and controls (4 May 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.