Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [PRA CF] Significant risk taker or Material risk taker (since 31 Aug 2025)
- [FCA CF] Significant management (since 31 Aug 2025)
- [FCA CF] Material risk taker (since 31 Aug 2025)
- SMF3 Executive Director (1 Jun 2025 to 31 Aug 2025)
- SMF22 Other Local Responsibility (16 May 2018 to 31 Aug 2025)
- SMF16 Compliance Oversight (27 Oct 2017 to 3 Apr 2018)
- SMF17 Money Laundering Reporting Officer (MLRO) (27 Oct 2017 to 3 Apr 2018)
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TT International Asset Management LTD
FRN 915787
- Director of firm who is not a certification employee or a SMF manager (since 28 Feb 2020)
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SMBC Bank International plc
FRN 223304
- SMF18 Other Overall Responsibility (since 18 Oct 2017)
- SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2017 to 18 Oct 2017)
- SMF16 Compliance Oversight (1 Feb 2017 to 18 Oct 2017)
- SMF3 Executive Director (7 Mar 2016 to 1 Feb 2017)
- CF10 Compliance Oversight (20 Jul 2012 to 1 May 2013)
- CF1 Director (1 Dec 2011 to 6 Mar 2016)
- CF29 Significant management (5 Apr 2011 to 1 Dec 2011)
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- Director of firm who is not a certification employee or a SMF manager (28 Feb 2020 to 31 Mar 2022)
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- CF1 Director (13 Apr 2006 to 19 Sep 2008)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.