Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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M&G Investment Management Limited
FRN 119328
- SMF18 Other Overall Responsibility (since 25 Mar 2025)
- [FCA CF] Material risk taker (since 17 Oct 2024)
- [FCA CF] Manager of certification employee (since 28 Mar 2024)
- [FCA CF] Significant management (since 28 Mar 2024)
- [FCA CF] Client dealing (since 28 Mar 2024)
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- [FCA CF] Manager of certification employee (since 28 Mar 2024)
- [FCA CF] Significant management (since 28 Mar 2024)
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M & G Securities Limited
FRN 122057
- [FCA CF] Manager of certification employee (since 28 Mar 2024)
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- [FCA CF] Client dealing (30 May 2023 to 17 Aug 2023)
- SMF18 Other Overall Responsibility (1 Dec 2022 to 7 Mar 2024)
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- CF2 Non Executive Director (18 Apr 2013 to 8 Dec 2019)
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- CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Dec 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.