Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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iSAM Securities (UK) Limited
FRN 629586
- SMF3 Executive Director (since 9 Dec 2019)
- CF10 Compliance Oversight (27 Feb 2018 to 10 Apr 2019)
- CF11 Money Laundering Reporting (13 Nov 2014 to 10 Apr 2019)
- CF1 Director (13 Nov 2014 to 8 Dec 2019)
- CF10a CASS Oversight function (13 Nov 2014 to 8 Dec 2019)
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iSAM Funds (UK) Limited
FRN 779166
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (30 Jun 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (30 Jun 2017 to 13 Sep 2017)
- CF11 Money Laundering Reporting (30 Jun 2017 to 10 Apr 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.