Where they hold approval

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

    • SMF3 Executive Director (since 9 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2025)
    • SMF16 Compliance Oversight (since 9 Dec 2025)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • SMF10 Chair of the Risk Committee (23 Mar 2022 to 12 Sep 2025)
    • SMF4 Chief Risk (23 Mar 2022 to 12 Sep 2025)
    • SMF16 Compliance Oversight (3 Jul 2020 to 7 Aug 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Jul 2020 to 7 Aug 2025)
  • Ascot Lloyd Investment Management Limited (no longer approved here)

    FRN 650245

    • SMF3 Executive Director (23 Mar 2022 to 12 Sep 2025)
    • SMF16 Compliance Oversight (3 Jul 2020 to 7 Aug 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Jul 2020 to 7 Aug 2025)
  • Quilter Investors Limited (no longer approved here)

    FRN 208543

    • CF1 Director (18 Feb 2016 to 29 Jun 2018)
    • CF11 Money Laundering Reporting (9 Feb 2014 to 25 Jun 2018)
    • CF28 Systems and controls (9 Feb 2014 to 25 Jun 2018)
    • CF10 Compliance Oversight (9 Feb 2014 to 25 Jun 2018)
  • JUPITER INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 171847

    • CF28 Systems and controls (9 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Feb 2014 to 12 Aug 2019)
    • CF10 Compliance Oversight (9 Feb 2014 to 12 Aug 2019)

Recent activity

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

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