Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Client dealing (2 Jul 2021 to 31 Mar 2023)
- SMF16 Compliance Oversight (2 Jul 2021 to 7 Oct 2022)
- Responsible for Insurance Distribution (2 Jul 2021 to 7 Oct 2022)
- SMF3 Executive Director (2 Jul 2021 to 31 Mar 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (2 Jul 2021 to 7 Oct 2022)
- [FCA CF] Functions requiring qualifications (2 Jul 2021 to 31 Mar 2023)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Oct 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Oct 2021)
- SMF3 Executive Director (9 Dec 2019 to 12 Oct 2021)
- CF11 Money Laundering Reporting (12 May 2008 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (5 Jul 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (20 May 2005 to 5 Jul 2006)
- CF1 Director (21 Mar 2005 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.