Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (13 Aug 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Aug 2010 to 8 Dec 2019)
    • CF4 Partner (13 Aug 2010 to 8 Dec 2019)
    • CF28 Systems and controls (9 Oct 2009 to 8 Dec 2019)
  • AXA INVESTMENT MANAGERS UK LIMITED (no longer approved here)

    FRN 119368

    • CF28 Systems and controls (1 Nov 2007 to 31 Mar 2009)
    • CF13 Finance (29 Sep 2003 to 31 Oct 2007)
  • AXA Investment Managers GS Limited (no longer approved here)

    FRN 188523

    • CF28 Systems and controls (1 Nov 2007 to 31 Mar 2009)
    • CF13 Finance (29 Sep 2003 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.