Where they hold approval

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

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Dec 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Dec 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (13 Oct 2003 to 31 Oct 2007)
    • CF1 Director (13 Oct 2003 to 13 Oct 2003)
    • CF27 Investment Management (13 Oct 2003 to 31 Oct 2007)
  • Tradition (UK) Limited (no longer approved here)

    FRN 139200

    • CF21 Investment Adviser (1 Dec 2001 to 10 Oct 2003)
    • CF26 Customer Trading (1 Dec 2001 to 10 Oct 2003)

Recent activity

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

No changes recorded yet.