Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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1OAK Capital Limited
FRN 501453
- CF30 Customer (since 24 Oct 2024)
- SMF1 Chief Executive (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF11 Money Laundering Reporting (17 Jun 2015 to 8 Dec 2019)
- CF10 Compliance Oversight (17 Jun 2015 to 8 Dec 2019)
- CF3 Chief Executive (4 Jul 2012 to 8 Dec 2019)
- CF29 Significant management (4 Jul 2012 to 8 Dec 2019)
- CF4 Partner (AR) (26 Jun 2012 to 5 Jul 2022)
- CF1 Director (6 Dec 2010 to 4 Jul 2012)
- CF3 Chief Executive (AR) (10 Dec 2009 to 14 Mar 2012)
- CF1 Director (AR) (10 Dec 2009 to 5 Jul 2022)
- CF30 Customer (10 Dec 2009 to 5 Jul 2022)
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GNT Corporation Limited
FRN 1019605
- (2)Employed By (since 24 Oct 2024)
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- Employed By (4 Dec 2012 to 5 Jul 2022)
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- CF21 Investment Adviser (27 Aug 2004 to 6 Mar 2007)
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- CF21 Investment Adviser (8 Jul 2003 to 22 Jul 2004)
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- CF21 Investment Adviser (1 Dec 2001 to 26 Jun 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.