Where they hold approval

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

  • Capital Managers LLP (no longer approved here)

    FRN 435939

    • (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.

  1. controlled function added: (7)CF30 Customer at Capital Managers LLP

  2. controlled function added: (8)CF24 Pension Transfer Specialist at Capital Managers LLP

  3. controlled function added: (9)CF21 Investment Adviser at Capital Managers LLP

  4. controlled function added: (10)CF11 Money Laundering Reporting at Capital Managers LLP

  5. controlled function added: (11)CF10 Compliance Oversight at Capital Managers LLP

  6. controlled function added: (12)CF8 Apportionment and Oversight at Capital Managers LLP

  7. controlled function added: (13)CF4 Partner at Capital Managers LLP