Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF3 Executive Director (9 Jan 2020 to 22 Jan 2024)
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- CF10a CASS Oversight function (1 Oct 2011 to 21 Jun 2019)
- CF30 Customer (1 Nov 2007 to 21 Jun 2019)
- CF29 Significant management (1 Nov 2007 to 21 Jun 2019)
- CF20 Significant Mgt (Settlements) (5 Jun 2007 to 31 Oct 2007)
- CF11 Money Laundering Reporting (5 Jun 2007 to 21 Jun 2019)
- CF21 Investment Adviser (5 Jun 2007 to 31 Oct 2007)
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- CF20 Significant Mgt (Settlements) (1 Dec 2001 to 29 Sep 2006)
- CF21 Investment Adviser (1 Dec 2001 to 29 Sep 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.