Where they hold approval

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

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Sep 2025)
    • SMF3 Executive Director (since 4 Sep 2025)
    • SMF16 Compliance Oversight (since 4 Sep 2025)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF16 Compliance Oversight (since 30 Jan 2023)
    • SMF3 Executive Director (since 30 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 23 Oct 2020)
    • [FCA CF] Client dealing (since 23 Oct 2020)
  • QED Financial Associates Ltd (no longer approved here)

    FRN 587216

    • CF30 Customer (1 Aug 2014 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (4 Sep 2008 to 4 Jul 2011)

Recent activity

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

No changes recorded yet.