Last updated
3 weeks ago
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Where they hold approval

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

    • SMF18 Other Overall Responsibility (since 28 Jun 2023)
    • [FCA CF] Client dealing (since 3 Apr 2023)
    • CF30 Customer (7 Apr 2008 to 6 Mar 2016)
    • SMF22 Other Local Responsibility (since 28 Jun 2023)
    • [FCA CF] Significant management (since 7 Mar 2017)
    • [FCA CF] Manager of certification employee (since 7 Mar 2017)
    • [FCA CF] Material risk taker (since 7 Mar 2017)
    • [FCA CF] Client dealing (since 7 Mar 2017)
    • CF30 Customer (7 Apr 2008 to 6 Mar 2016)
  • Canadian Imperial Bank of Commerce (no longer approved here)

    FRN 141285

    • CF30 Customer (1 Nov 2007 to 9 Mar 2008)
    • CF21 Investment Adviser (23 Nov 2006 to 31 Oct 2007)
  • Credit Agricole Corporate and Investment Bank (no longer approved here)

    FRN 124344

    • CF21 Investment Adviser (4 Mar 2005 to 13 Nov 2006)

Recent activity

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

No changes recorded yet.