Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 8 Aug 2019)
    • CF11 Money Laundering Reporting (7 Jun 2019 to 8 Dec 2019)
    • CF1 Director (7 Jun 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Jun 2019 to 8 Dec 2019)
    • CF30 Customer (1 Feb 2018 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (8 May 2014 to 31 Jan 2018)
  • Charles Dean Limited (no longer approved here)

    FRN 616450

    • Employed By (8 May 2014 to 31 Jan 2018)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.