Where they hold approval

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

    • [FCA CF] Material risk taker (since 9 Dec 2020)
    • [FCA CF] Significant management (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] CASS oversight function (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF1 Director (AR) (13 Feb 2017 to 28 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 7 Dec 2021)
    • CF21 Investment Adviser (19 Apr 2005 to 31 Oct 2007)
    • CF1 Director (30 Apr 2002 to 8 Dec 2019)
    • CF3 Chief Executive (30 Apr 2002 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (30 Apr 2002 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (30 Apr 2002 to 1 Aug 2004)
    • CF10 Compliance Oversight (30 Apr 2002 to 1 Aug 2004)
    • CF23 Corporate Finance Adviser (30 Apr 2002 to 19 Apr 2005)

Recent activity

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

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