Where they hold approval

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

    • SMF16 Compliance Oversight (since 1 Oct 2025)
    • [FCA CF] Client dealing (since 1 Oct 2025)
    • SMF3 Executive Director (since 1 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2025)
  • G10 Capital Limited (no longer approved here)

    FRN 648953

    • CF30 Customer (11 Feb 2024 to 30 Sep 2025)
    • CF1 Director (AR) (11 Feb 2024 to 30 Sep 2025)
  • GALLIUM INVESTMENT PARTNERS LTD (no longer approved here)

    FRN 1006360

    • (3)Employed By (11 Feb 2024 to 30 Sep 2025)
  • TFS Derivatives Limited (no longer approved here)

    FRN 197244

    • [FCA CF] Manager of certification employee (6 Jan 2021 to 31 Oct 2023)
    • [FCA CF] Client dealing (6 Jan 2021 to 31 Oct 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (19 May 2003 to 31 Oct 2007)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2003)

Recent activity

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

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