Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF16 Compliance Oversight (29 Jan 2020 to 31 Jul 2022)
- SMF27 Partner (9 Dec 2019 to 31 Dec 2022)
- CF10a CASS Oversight function (9 Feb 2012 to 8 Dec 2019)
- CF30 Customer (23 Jul 2008 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (18 Jul 2007 to 1 Dec 2007)
- CF11 Money Laundering Reporting (18 Jul 2007 to 1 Dec 2007)
- CF4 Partner (2 Apr 2007 to 8 Dec 2019)
- CF13 Finance (2 Apr 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.