Where they hold approval

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

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (22 May 2018 to 8 Dec 2019)
    • CF3 Chief Executive (1 Aug 2016 to 20 Dec 2017)
    • CF10 Compliance Oversight (1 Aug 2016 to 20 Dec 2017)
    • CF30 Customer (20 Oct 2014 to 20 Dec 2017)
    • CF1 Director (20 Oct 2014 to 20 Dec 2017)
    • SMF10 Chair of the Risk Committee (since 21 Oct 2019)
    • SMF14 Senior Independent Director (since 21 Oct 2019)
    • SMF11 Chair of the Audit Committee (since 21 Oct 2019)
  • GAM London Limited (no longer approved here)

    FRN 122330

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 13 Oct 2023)
    • CF2 Non Executive Director (13 Nov 2019 to 8 Dec 2019)
  • GAM INTERNATIONAL MANAGEMENT LIMITED (no longer approved here)

    FRN 122331

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 13 Oct 2023)
    • CF2 Non Executive Director (13 Nov 2019 to 8 Dec 2019)
  • First Sentier Investors (UK) IM Limited (no longer approved here)

    FRN 119367

    • CF3 Chief Executive (17 Nov 2009 to 6 Feb 2013)
    • CF1 Director (17 Nov 2009 to 6 Feb 2013)
  • First Sentier Investors International IM Limited (no longer approved here)

    FRN 122512

    • CF1 Director (17 Nov 2009 to 6 Feb 2013)
    • CF3 Chief Executive (17 Nov 2009 to 6 Feb 2013)
  • First Sentier Investors (UK) Funds Limited (no longer approved here)

    FRN 143359

    • CF1 Director (17 Nov 2009 to 6 Feb 2013)
    • CF3 Chief Executive (17 Nov 2009 to 6 Feb 2013)
    • Responsible for Insurance Mediation (11 Jun 2007 to 20 Jun 2008)
    • CF1 Director (31 May 2007 to 30 Jun 2009)
    • CF3 Chief Executive (31 May 2007 to 20 Jun 2008)
    • CF8 Apportionment and Oversight (31 May 2007 to 31 Oct 2007)
  • RBS Collective Investment Funds Limited (no longer approved here)

    FRN 122139

    • CF2 Non Executive Director (8 Mar 2006 to 3 Apr 2006)
    • CF8 Apportionment and Oversight (2 Jul 2002 to 1 Dec 2002)
    • CF3 Chief Executive (2 Jul 2002 to 1 Dec 2002)
    • CF1 Director (2 Jul 2002 to 1 Dec 2002)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF8 Apportionment and Oversight (1 Apr 2005 to 10 Feb 2006)

Recent activity

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

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