Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Charter Court Financial Services Limited
FRN 494549
- SMF18 Other Overall Responsibility (since 3 Mar 2022)
- [FCA CF] Material risk taker (29 Nov 2021 to 2 Mar 2022)
- [FCA CF] Manager of certification employee (29 Nov 2021 to 2 Mar 2022)
- [PRA CF] Significant risk taker or Material risk taker (29 Nov 2021 to 2 Mar 2022)
- [FCA CF] Significant management (29 Nov 2021 to 2 Mar 2022)
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OneSavings Bank Plc
FRN 530504
- SMF18 Other Overall Responsibility (since 3 Mar 2022)
- [PRA CF] Significant risk taker or Material risk taker (29 Nov 2021 to 2 Mar 2022)
- [FCA CF] Significant management (29 Nov 2021 to 2 Mar 2022)
- [FCA CF] Material risk taker (29 Nov 2021 to 2 Mar 2022)
- [FCA CF] Manager of certification employee (29 Nov 2021 to 2 Mar 2022)
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- CF1 Director (10 Mar 2015 to 25 Nov 2016)
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- Responsible for Insurance Mediation (2 Jul 2012 to 24 Oct 2014)
- CF3 Chief Executive (1 Nov 2011 to 24 Oct 2014)
- CF10 Compliance Oversight (23 May 2011 to 16 Apr 2012)
- CF28 Systems and controls (1 Nov 2007 to 16 Apr 2012)
- CF1 Director (8 Dec 2004 to 24 Oct 2014)
- CF11 Money Laundering Reporting (6 Sep 2004 to 16 Apr 2012)
- CF14 Risk Assessment (29 Jul 2004 to 31 Oct 2007)
- CF13 Finance (29 Jul 2004 to 31 Oct 2007)
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- Responsible for Insurance Mediation (2 Jul 2012 to 22 Oct 2014)
- CF3 Chief Executive (1 Nov 2011 to 22 Oct 2014)
- CF10 Compliance Oversight (23 May 2011 to 16 Apr 2012)
- CF28 Systems and controls (1 Nov 2007 to 16 Apr 2012)
- CF14 Risk Assessment (31 Oct 2004 to 31 Oct 2007)
- CF13 Finance (31 Oct 2004 to 31 Oct 2007)
- CF11 Money Laundering Reporting (31 Oct 2004 to 22 Oct 2014)
- CF1 Director (31 Oct 2004 to 22 Oct 2014)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.