Where they hold approval

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

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • SMF1 Chief Executive (since 29 Sep 2021)
    • Responsibility for MCD Intermediation (since 29 Sep 2021)
    • SMF16 Compliance Oversight (since 29 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Sep 2021)
    • Responsible for Insurance Distribution (since 29 Sep 2021)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF1 Director (23 Jan 2015 to 8 Dec 2019)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 9 Jun 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Jun 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 9 Jun 2021)
    • CF1 Director (16 Jul 2015 to 8 Dec 2019)
    • CF30 Customer (23 Jan 2015 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.