Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Dec 2025)
- [FCA CF] Client dealing (9 Dec 2019 to 2 Dec 2025)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
- CF1 Director (2 Jan 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (2 Jan 2007 to 8 Dec 2019)
- CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (2 Jan 2007 to 31 Oct 2007)
- Responsible for Insurance Mediation (2 Jan 2007 to 30 Sep 2018)
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- (1)Employed By (13 Mar 2002 to 1 Aug 2003)
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- (4)Employed By (1 Dec 2001 to 29 Dec 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.