Where they hold approval

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

    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Material risk taker (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 8 Jan 2020)
    • SMF1 Chief Executive (since 8 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jan 2020)
    • SMF3 Executive Director (since 8 Jan 2020)
  • Smith Square Partners LLP (no longer approved here)

    FRN 533915

    • CF30 Customer (18 Dec 2012 to 18 Oct 2018)
    • CF4 Partner (18 Dec 2012 to 30 Jul 2018)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF30 Customer (1 Nov 2007 to 23 Nov 2012)
    • CF23 Corporate Finance Adviser (10 May 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.