Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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S and F Investment Advisors Limited
FRN 912208
- [FCA CF] Client dealing (since 1 Jul 2020)
- SMF16 Compliance Oversight (since 7 Jan 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Jan 2020)
- SMF3 Executive Director (since 7 Jan 2020)
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- CF1 Director (10 Oct 2003 to 1 Nov 2005)
- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 3 Oct 2003)
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- CF1 Director (1 Dec 2001 to 26 Feb 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.