Where they hold approval

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

    • [FCA CF] Material risk taker (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 10 Oct 2019)
    • [FCA CF] Significant management (since 10 Oct 2019)
    • [FCA CF] Manager of certification employee (since 10 Oct 2019)
    • SMF3 Executive Director (19 Dec 2022 to 3 Apr 2023)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • SMF16 Compliance Oversight (7 Nov 2017 to 31 Jan 2018)
    • [FCA CF] Significant management (7 Mar 2016 to 30 Jun 2019)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Jun 2019)
    • CF10 Compliance Oversight (14 Jul 2015 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 14 Apr 2003)

Recent activity

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

No changes recorded yet.