Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 10 Sep 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Aug 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 14 Aug 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 10 Sep 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 10 Sep 2025)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 10 Sep 2025)
    • Responsible for Insurance Mediation (1 May 2008 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 May 2008 to 31 Mar 2009)
    • CF30 Customer (1 May 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 May 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 May 2008 to 8 Dec 2019)
    • CF1 Director (1 May 2008 to 8 Dec 2019)
  • C. HOARE & CO. (no longer approved here)

    FRN 122093

    • CF22 Investment Adviser (Trainee) (30 Aug 2002 to 1 Jul 2004)

Recent activity

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

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