Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • SMF16 Compliance Oversight (since 30 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2020)
    • SMF3 Executive Director (since 1 Oct 2020)
    • [FCA CF] Client dealing (since 1 Oct 2020)
  • The Bank of Nova Scotia (no longer approved here)

    FRN 141308

    • CF30 Customer (3 Aug 2010 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 31 Mar 2010)
    • CF21 Investment Adviser (24 Aug 2005 to 31 Oct 2007)

Recent activity

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

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