Where they hold approval

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

    • [FCA CF] Client dealing (since 1 Jul 2024)
    • [FCA CF] Manager of certification employee (since 1 Jul 2024)
    • [FCA CF] Material risk taker (since 1 Jul 2024)
    • [FCA CF] Significant management (since 1 Jul 2024)
  • Panmure Liberum Capital Limited (no longer approved here)

    FRN 465050

    • [FCA CF] Material risk taker (2 May 2023 to 1 Jul 2024)
    • [FCA CF] Client dealing (9 Nov 2022 to 18 Dec 2024)
    • [FCA CF] Significant management (9 Nov 2022 to 1 Jul 2024)
    • [FCA CF] Manager of certification employee (9 Nov 2022 to 18 Dec 2024)
  • Shore Capital and Corporate Limited (no longer approved here)

    FRN 146629

    • [FCA CF] Client dealing (12 Mar 2021 to 10 Jun 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Jun 2022)
    • SMF1 Chief Executive (9 Dec 2019 to 3 Feb 2020)
    • SMF3 Executive Director (9 Dec 2019 to 12 Apr 2022)
    • CF3 Chief Executive (29 Apr 2010 to 8 Dec 2019)
    • CF1 Director (29 Apr 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (8 Nov 2004 to 31 Oct 2007)
  • ARBUTHNOT LATHAM & CO., LIMITED (no longer approved here)

    FRN 143336

    • CF23 Corporate Finance Adviser (16 May 2003 to 7 Jul 2004)

Recent activity

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

No changes recorded yet.