Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- CF10a CASS Oversight function (4 May 2016 to 14 Sep 2016)
- CF11 Money Laundering Reporting (4 May 2016 to 14 Sep 2016)
- CF10 Compliance Oversight (4 May 2016 to 14 Sep 2016)
- CF8 Apportionment and Oversight (1 Jan 2008 to 31 Mar 2009)
- CF3 Chief Executive (1 Jan 2008 to 28 Sep 2017)
- CF30 Customer (1 Nov 2007 to 18 Apr 2018)
- CF27 Investment Management (10 Jul 2002 to 31 Oct 2007)
- CF1 Director (10 Jul 2002 to 18 Apr 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.