Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Courtiers Investment Services Limited
FRN 124995
- 17. Administrative functions in relation to managing investments
- [FCA CF] Material risk taker (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF1 Director (27 Nov 2019 to 8 Dec 2019)
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Courtiers Asset Management Limited
FRN 616322
- 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
- 16. Safeguarding and administering investments or holding client money
- 17. Administrative functions in relation to managing investments
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (4 Nov 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.