Where they hold approval

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

    • 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)
    • (2)Employed By (since 24 Oct 2024)
  • 1OAK Capital Partners LLP (no longer approved here)

    FRN 581398

    • Employed By (4 Dec 2012 to 5 Jul 2022)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (27 Aug 2004 to 6 Mar 2007)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF21 Investment Adviser (8 Jul 2003 to 22 Jul 2004)
  • The Bank of New York Mellon (no longer approved here)

    FRN 122467

    • 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.