Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF3 Executive Director (9 Dec 2019 to 29 Nov 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Nov 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (2 Jan 2007 to 15 May 2015)
- CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
- Responsible for Insurance Mediation (2 Jan 2007 to 27 Apr 2018)
- CF10 Compliance Oversight (2 Jan 2007 to 15 May 2015)
- CF1 Director (2 Jan 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
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- CF30 Customer (14 Nov 2008 to 1 Jun 2010)
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- CF21 Investment Adviser (29 Dec 2003 to 30 Dec 2004)
- CF22 Investment Adviser (Trainee) (21 Jul 2003 to 29 Dec 2003)
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- (9)Employed By (21 Jul 2003 to 30 Dec 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.