Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (2 Mar 2018 to 8 Dec 2019)
    • CF4 Partner (2 Mar 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Mar 2018 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (21 Jan 2010 to 6 Mar 2016)
  • Janus Henderson Investors UK Limited (no longer approved here)

    FRN 121857

    • CF30 Customer (2 Jul 2009 to 25 Dec 2009)
  • Janus Henderson Fund Management UK Limited (no longer approved here)

    FRN 121859

    • CF30 Customer (2 Jul 2009 to 25 Dec 2009)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (1 Nov 2007 to 3 Dec 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.