Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- (10)CF11 Money Laundering Reporting (4 Dec 2013 to 9 Feb 2016)
- (11)CF10 Compliance Oversight (27 Dec 2007 to 22 Dec 2016)
- (12)CF8 Apportionment and Oversight (27 Dec 2007 to 31 Mar 2009)
- (7)CF30 Customer (1 Nov 2007 to 31 Mar 2017)
- (8)CF24 Pension Transfer Specialist (28 Dec 2005 to 31 Oct 2007)
- (13)CF4 Partner (3 Oct 2005 to 31 Mar 2017)
- (9)CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (7)CF30 Customer at Capital Managers LLP
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controlled function added: (8)CF24 Pension Transfer Specialist at Capital Managers LLP
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controlled function added: (9)CF21 Investment Adviser at Capital Managers LLP
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controlled function added: (10)CF11 Money Laundering Reporting at Capital Managers LLP
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controlled function added: (11)CF10 Compliance Oversight at Capital Managers LLP
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controlled function added: (12)CF8 Apportionment and Oversight at Capital Managers LLP
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controlled function added: (13)CF4 Partner at Capital Managers LLP