Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • [FCA CF] Client dealing (since 1 Aug 2023)
    • [FCA CF] Material risk taker (since 1 Aug 2023)
  • Apollo Asset Management Europe LLP (no longer approved here)

    FRN 784373

    • SMF27 Partner (15 Sep 2021 to 11 Aug 2023)
  • Halifax Share Dealing Limited (no longer approved here)

    FRN 183332

    • SMF7 Group Entity Senior Manager (11 Jun 2020 to 31 Dec 2020)
  • Lloyds Bank General Insurance Limited (no longer approved here)

    FRN 202091

    • [FCA CF] Manager of certification employee (20 May 2020 to 31 Dec 2020)
    • [PRA CF] Key function holder (10 Dec 2018 to 20 May 2019)
    • CF10 Compliance Oversight (4 Mar 2013 to 21 May 2015)
    • CF28 Systems and controls (4 Mar 2013 to 21 May 2015)
  • St Andrew's Insurance Plc (no longer approved here)

    FRN 202932

    • [FCA CF] Manager of certification employee (20 May 2020 to 31 Dec 2020)
    • [PRA CF] Key function holder (10 Dec 2018 to 20 May 2019)
    • CF10 Compliance Oversight (4 Mar 2013 to 21 May 2015)
    • CF28 Systems and controls (4 Mar 2013 to 21 May 2015)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • SMF1 Chief Executive (12 Mar 2020 to 31 Dec 2020)
    • SMF3 Executive Director (12 Mar 2020 to 31 Dec 2020)
    • CF28 Systems and controls (4 Mar 2013 to 21 May 2015)
    • CF10 Compliance Oversight (4 Mar 2013 to 21 May 2015)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • SMF3 Executive Director (12 Mar 2020 to 31 Dec 2020)
    • SMF1 Chief Executive (12 Mar 2020 to 31 Dec 2020)
    • CF10 Compliance Oversight (4 Mar 2013 to 21 May 2015)
    • CF28 Systems and controls (4 Mar 2013 to 21 May 2015)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • [FCA CF] Material risk taker (9 Dec 2019 to 19 May 2020)
    • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 19 May 2020)
    • CF10 Compliance Oversight (4 Mar 2013 to 21 May 2015)
    • CF28 Systems and controls (4 Mar 2013 to 21 May 2015)
  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • SMF6 Head of Key Business Areas (11 Mar 2019 to 31 Dec 2020)
    • [PRA CF] Key function holder (10 Dec 2018 to 20 May 2019)
    • CF29 Significant management (3 Jan 2018 to 9 Dec 2018)
    • CF28 Systems and controls (4 Mar 2013 to 21 May 2015)
    • CF10 Compliance Oversight (4 Mar 2013 to 21 May 2015)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • [FCA CF] Material risk taker (10 Feb 2017 to 19 May 2020)
    • [PRA CF] Significant risk taker or Material risk taker (10 Feb 2017 to 19 May 2020)
    • CF28 Systems and controls (1 Aug 2014 to 21 May 2015)

Recent activity

Updates to this individual's record on the FCA register.

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