Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UK Structured Finance Limited
FRN 431634
- 3. Giving personal recommendations on derivatives
- 8. Giving personal recommendations on investments in the course of corporate finance business
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (25 Oct 2005 to 8 Dec 2019)
- CF10 Compliance Oversight (25 Oct 2005 to 8 Dec 2019)
- CF8 Apportionment and Oversight (25 Oct 2005 to 31 Oct 2007)
- CF23 Corporate Finance Adviser (25 Oct 2005 to 31 Oct 2007)
- CF3 Chief Executive (25 Oct 2005 to 8 Dec 2019)
- CF11 Money Laundering Reporting (25 Oct 2005 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.