Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2023)
- SMF1 Chief Executive (9 Dec 2019 to 31 Mar 2023)
- SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2023)
- SMF3 Executive Director (9 Dec 2019 to 31 Mar 2023)
- CF30 Customer (31 Jul 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (31 Jul 2017 to 8 Dec 2019)
- CF1 Director (31 Jul 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (31 Jul 2017 to 8 Dec 2019)
- CF3 Chief Executive (31 Jul 2017 to 8 Dec 2019)
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- CF30 Customer (3 Sep 2008 to 28 Jul 2013)
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- CF30 Customer (1 Nov 2007 to 30 Apr 2008)
- CF21 Investment Adviser (6 Dec 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (26 Apr 2002 to 31 Dec 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.