Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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PFPNI LTD
FRN 601226
- SMF17 Money Laundering Reporting Officer (MLRO) (since 13 May 2021)
- SMF16 Compliance Oversight (since 13 May 2021)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF11 Money Laundering Reporting (19 Aug 2013 to 21 Sep 2016)
- CF10 Compliance Oversight (19 Aug 2013 to 21 Sep 2016)
- CF1 Director (19 Aug 2013 to 8 Dec 2019)
- Responsible for Insurance Mediation (19 Aug 2013 to 30 Sep 2018)
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St. James's Place Wealth Management Plc
FRN 195351
- CF1 Director (AR) (since 9 Dec 2015)
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ARDU Ltd
FRN 726952
- (8)Employed By (since 9 Dec 2015)
Recent activity
Updates to this individual's record on the FCA register.