Where they hold approval

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

  • Principal Global Investors (Europe) Limited (no longer approved here)

    FRN 191120

    • CF10 Compliance Oversight (18 Dec 2003 to 28 Jul 2006)
    • CF1 Director (24 Sep 2003 to 13 May 2009)
    • CF16 Significant Mgt (Desgntd Investment Business) (24 Sep 2003 to 28 Jul 2006)
    • CF21 Investment Adviser (24 Sep 2003 to 28 Jul 2006)
    • CF3 Chief Executive (24 Sep 2003 to 28 Jul 2006)
    • CF8 Apportionment and Oversight (24 Sep 2003 to 28 Jul 2006)

Recent activity

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

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