Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [FCA CF] Client dealing (7 Dec 2020 to 31 Jul 2021)
- [FCA CF] Functions requiring qualifications (7 Dec 2020 to 31 Jul 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 11 Mar 2020)
- SMF27 Partner (9 Dec 2019 to 10 Sep 2021)
- Responsibility for MCD Intermediation (8 Sep 2016 to 10 Sep 2021)
- CF30 Customer (7 Feb 2013 to 8 Dec 2019)
- CF10 Compliance Oversight (7 Feb 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (7 Feb 2013 to 19 Feb 2018)
- CF4 Partner (7 Feb 2013 to 8 Dec 2019)
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- CF30 Customer (11 May 2009 to 15 May 2013)
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- CF30 Customer (1 Nov 2007 to 5 May 2009)
- CF21 Investment Adviser (15 Jul 2002 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (15 Apr 2002 to 15 Jul 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.